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PB

Phillip D. Bacon

CONVERGENCE FINANCIAL
Columbia, MO 65203
Some features on this profile are disabled
CRD#: 6768592
PB

Professional summary

Phillip David Bacon, who also goes by Phillip Bacon, is a registered financial advisor currently at CONVERGENCE FINANCIAL located in Columbia, Missouri and LPL FINANCIAL LLC located in Columbia, Missouri.

Phillip is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Phillip has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Phillip Bacon

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Phillip David Bacon's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

September 12, 2024 - Present

CONVERGENCE FINANCIAL

Office #1: 3919 S Providence Rd, Columbia, MO 65203
RIA
CRD#: 304146
Columbia, MO
Current

January 24, 2024 - Present

LPL FINANCIAL LLC

Office #1: 3919 S. Providence Road, Columbia, MO 65203
RIA
BD
CRD#: 6413
Columbia, MO
Past

January 25, 2021 - April 28, 2022

LPL FINANCIAL LLC

RIA
CRD#: 6413
COLUMBIA, MO
Past

January 25, 2021 - April 28, 2022

LPL FINANCIAL LLC

BD
CRD#: 6413
COLUMBIA, MO
Past

October 25, 2017 - January 26, 2021

MML INVESTORS SERVICES, LLC

RIA
CRD#: 10409
Columbia, MO
Past

August 5, 2017 - January 26, 2021

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
Columbia, MO

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CF
CONVERGENCE FINANCIAL
360 INTEGRATED FINANCIAL | WESCOAT WEALTH MANAGEMENT | TELOS STRATEGIC WEALTH | RAMOS GROUP | LEGACY GROUP FINANCIAL ADVISORS | FOUR RIVERS FINANCIAL | CONVERGENCE WEALTH | CONVERGENCE FINANCIAL, LLC | CONVERGENCE FINANCIAL & TAX | CONVERGENCE FINANCIAL | COMMERCIAL TRUST FINANCIAL SERVICES

CRD#: 304146 / SEC#: 801-116738

RIA
Registered Investment Advisory firm - (6/3/2019 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Missouri
(1/24/2024)
IAR
Missouri
(9/12/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/14/2017
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/5/2017
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CF
CONVERGENCE FINANCIAL
360 INTEGRATED FINANCIAL | WESCOAT WEALTH MANAGEMENT | TELOS STRATEGIC WEALTH | RAMOS GROUP | LEGACY GROUP FINANCIAL ADVISORS | FOUR RIVERS FINANCIAL | CONVERGENCE WEALTH | CONVERGENCE FINANCIAL, LLC | CONVERGENCE FINANCIAL & TAX | CONVERGENCE FINANCIAL | COMMERCIAL TRUST FINANCIAL SERVICES

CRD#: 304146 / SEC#: 801-116738

RIA
Registered Investment Advisory firm - (6/3/2019 Approved)
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Contact information

Main Address
3919 S. Providence Road, Columbia, MO 65203
Mailing Address
Phone number
(573) 818-2264
Established
Firm type
Fiscal year end
# of Employees
18

SEC notice filing (27 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

CONVERGENCE FINANCIAL 2A (9/10/2025)

Regulatory assets under management

Total Number of Accounts3,609
AUM (Assets Under Management)$ 703,445,900

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

CONVERGENCE FINANCIAL

CRD#: 304146Columbia, MO 65203

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