Lori L. Ferrera

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CRD#: 7144047

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Lori Lynn Ferrera, who also goes by Lori Lynn Young, was a registered financial professional .

Lori is a previously registered financial professional and started their career in finance in 2020. Lori had worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Aliases

Lori Lynn Young

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.

Convergence Tax solutions, Not investment related, 14665 Galaxie Ave #205, Apple Valley, MN 55124, Tax preparation and planning, Sole Proprietor, Seasonal / Full time during tax season, 100 to 200 hours per month during market hours. Convergence Advisors, Inv-rel, 14665 Galaxie Ave, Suite 205, Apple Valley MN 55124, Financial Planning and Investments, Financial Advisor, 10.29.2020, 10 hrs, provide investment advice and financial planning services 10/20/2020 Convergence Financial, Registered Investment Advisor Hybrid,inv rel, Financial Advisor 10 hrs, Hybrid Advisor to RIA Firm provide investment services and financial planning for a fee

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 29, 2020 - April 7, 2025

CONVERGENCE FINANCIAL

RIA

CRD#: 304146

Apple Valley, MN

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".

CONVERGENCE FINANCIAL

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.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/20/2020

Uniform Investment Adviser Law Examination

Current Firm

CONVERGENCE FINANCIAL

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

SEC notice filing (25 States and Territories)

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 Accounts	3,609
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.

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Lori L. Ferrera

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CONVERGENCE FINANCIAL

Primary Firm SEC Registration

CONVERGENCE FINANCIAL

State Registrations and Notice Filings

Exams

Series 65

Date: 10/20/2020

Current Firm

CONVERGENCE FINANCIAL

Contact information

SEC notice filing (25 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CONVERGENCE FINANCIAL

TRUST BUT VERIFY

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