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Mark Paul Brooks

CONVERGENCE FINANCIAL
COLUMBIA, MO
·CRD# 7244133·1 year experience

Professional Summary

Mark Paul Brooks, who also goes by Mark Brooks, is a registered financial advisor currently at CONVERGENCE FINANCIAL located in Columbia, Missouri. Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2025. Mark has worked at 1 firm and has passed the Series 65 exam.

At a Glance

Always Fiduciary

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Mark Brooks

Blog Corner

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Videos & Posts

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

1 years in the financial services industry

Current & Past Employments

CONVERGENCE FINANCIAL·CRD# 304146
RIA
3919 S. Providence Road, Columbia, MO 65203
March 11, 2025 - Present

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Current Firm

CF
CONVERGENCE FINANCIAL

360 INTEGRATED FINANCIAL | WESCOAT WEALTH MANAGEMENT | TELOS STRATEGIC WEALTH | RAMOS GROUP | PHAROS PRIVATE WEALTH | LEGACY WEALTH MGT., LLC | LEGACY GROUP FINANCIAL ADVISORS | HORIZON WEALTH PARTNERS | HOMEBROOK WEALTH | GREAT PLAINS WEALTH PARTNERS | 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 - SEC (6/3/2019 Approved)

Contact Information

Main Address

3919 S. Providence Road, Columbia, MO 65203

Phone Number

(573) 818-2264

# of Employees

18

SEC notice filing (28 States and Territories)

Registered to provide investment advisory services in 28 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

CONVERGENCE FINANCIAL 2A (6/22/2026)

Regulatory Assets Under Management

Total Number of Accounts

4,725

AUM (Assets Under Management)

$903,955,351

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

Unleash Consulting, LLC d/b/a A Bit of Mgmt; Non Investment-related, 5700 Adelaide Ct., Columbia, MO 65203; Business/Management consulting and coaching; Owner; Start date 7/2/2015; Spend 2-3 hours per month, none during trading hours; Zoom calls and face-to-face meetings with clients on business management topics. Convergence Wealth d/b/a for Convergence Financial Registered Investment Adviser - Financial Professional. 160 Hours Per Month/0 Hours During Securities Trading - I provide investment advisory services through Convergence Financial, an independent investment adviser firm. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD.

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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 | PHAROS PRIVATE WEALTH | LEGACY WEALTH MGT., LLC | LEGACY GROUP FINANCIAL ADVISORS | HORIZON WEALTH PARTNERS | HOMEBROOK WEALTH | GREAT PLAINS WEALTH PARTNERS | 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 - SEC (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.
IAR
Missouri
(3/11/2025)

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

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Mar 2025About the Series 65 exam

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CRS (Client Relationship Summary) - RIA

Click below to view Mark Paul Brooks's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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