Cole B. Horstmann

CONVERGENCE FINANCIAL

Fayette, MO 65248

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CRD#: 7475731

Professional summary

Cole Benjamin Horstmann is a registered financial advisor currently at CONVERGENCE FINANCIAL located in Fayette, Missouri and LPL FINANCIAL LLC located in Fayette, Missouri.

Cole is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2023. Cole has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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- 09/2012 / Emmet's Kitchen and Tap / Outside/W-2 Employment / Non Investment Related / Fayette, MO 65248 2- 12/2021 / Commercial Trust Financial Services / DBA for LPL Business (entity for LPL business) / Investment Related / Fayette, MO

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Cole Benjamin Horstmann'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

May 22, 2023 - Present

CONVERGENCE FINANCIAL

Office #1: 119 N Main St, Fayette, MO 65248

RIA

CRD#: 304146

Fayette, MO

Current

September 20, 2022 - Present

LPL FINANCIAL LLC

Office #1: 119 N Main St, Fayette, MO 65248

RIA

CRD#: 6413

Fayette, MO

Past

January 20, 2023 - May 23, 2023

LPL FINANCIAL LLC

RIA

CRD#: 6413

FORT MILL, SC

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Missouri
(1/20/2023)

IAR

Missouri
(5/22/2023)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/19/2023

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 9/20/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 4/18/2022

Securities Industry Essentials Examination

SRO Registrations

FINRA

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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Cole B. Horstmann

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Cole Benjamin Horstmann's CRS (Customer Relationship Summary).

Certified licenses

Experience

CONVERGENCE FINANCIAL

LPL FINANCIAL LLC

LPL FINANCIAL LLC

Primary Firm SEC Registration

CONVERGENCE FINANCIAL

State Registrations and Notice Filings

Exams

Series 66

Date: 1/19/2023

Series 7TO

Date: 9/20/2022

SIE

Date: 4/18/2022

FINRA

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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