MN
Marc E. Neighbor
CONVERGENCE FINANCIAL
Overland Park, KS 66210
Some features on this profile are disabled
CRD#: 7308633
MN
Professional summary
Marc Ernest Neighbor, who also goes by Marc Ernest Hatfield Neighbor, is a registered financial advisor currently at CONVERGENCE FINANCIAL located in Overland Park, Kansas and LPL FINANCIAL LLC located in Overland Park, Kansas.
Marc is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Marc has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Marc Ernest Hatfield Neighbor
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.
1) 07/2024 - Convergence Financial LLC / DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s) 2) 07/2024 - Neighbors and friends holdings LLC / Business Entity For Tax/Investment Purposes Only / Non Inv. Related / Overland Park, KS / Start date 05/29/2024 3) 07/24/2024 - Cycling Kansas City - Non-Profit Board Member - Board Member - Not Investment Related - 1221 W 103rd St #277, Kansas City, MO 64114 - Start Date 07/12/2023 - 4 Hours Per Month/ 0 Hours During Trading 4) 08/07/2024 - Convergence Financial LLC - Registered Investment Advisor Hybrid - Advisor - Investment Related - At Reported Business Location(s) - Start Date 06/10/2024 - 140 Hours Per Month/ 7 Hours During Trading - I provide investment advisory services through Convergence Financial LLC, an independent investment advisor firm. I started this business activity in 8/2024. 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 service6s at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
CRS (Client Relationship Summary) - RIA
Click below to view Marc Ernest Neighbor's 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®
NoneExperience
Current
June 5, 2024 - Present
CONVERGENCE FINANCIAL
Office #1: 10975 Benson Drive Corporate Woods, Bldg. 12, Ste. 560, Overland Park, KS 66210RIA
CRD#: 304146
Overland Park, KS
Current
July 24, 2024 - Present
LPL FINANCIAL LLC
Office #1: 10975 Benson Dr Ste 250, Overland Park, KS 66210RIA
BD
CRD#: 6413
OVERLAND PARK, KS
Past
January 22, 2021 - June 20, 2024
EDWARD JONES
RIA
CRD#: 250
Overland Park, KS
Past
January 1, 2021 - June 20, 2024
EDWARD JONES
BD
CRD#: 250
Overland Park, KS
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 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
Kansas(7/24/2024)
RR
Minnesota(9/11/2024)
IAR
Missouri(6/5/2024)
RR
Missouri(3/18/2025)
RR
Nebraska(9/11/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/28/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
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 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)Upgrade to AdvisorCheck Premium
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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 (25 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,609 |
| AUM (Assets Under Management) | $ 703,445,900 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
