Dawna Westberg-Welch has been an investment adviser representative at Convergence Financial since September 2026, and is not listed among the firm’s executive officers or direct owners. Dawna Westberg-Welch studied at the University of Phoenix.
Convergence Financial, LLC is a Columbia, MO firm with $904M under management, 2,714 clients and 13 advisers across 15 offices, as of its September 2026 filing.
Dawna Westberg-Welch is Wealth Advisor of Horizon Wealth Partners in Sedona, Arizona, a practice offering investment advice through Convergence Financial, LLC. She began her career in financial services in 1994, specializing in 1031 tax-deferred property exchanges with Fidelity National Title. In 2009 she joined JPMorgan Chase in Sedona as Private Client Advisor, and in 2016 she launched her own practice.
Dawna Westberg-Welch’s longest registration was 10 years at Stratos Wealth Partners, LTD (2016–2026). Before joining Convergence Financial in 2026, Dawna Westberg-Welch was registered through Stratos Wealth Partners, LTD and J.P. Morgan Securities LLC.
- Convergence FinancialCurrent– present · under a yearSedona, AZ · Adviser representative · Firm CRD 304146
- Stratos Wealth Partners, LTD– · 10 yearsSedona, AZ · Adviser representative · Firm CRD 153184
- J.P. Morgan Securities LLC– · 3 yearsSedona, AZ · Adviser representative · Firm CRD 79
- Chase Investment Services Corp.– · 1 yearSedona, AZ · Adviser representative · Firm CRD 25574
Investment adviser representative registrations
Dawna Westberg-Welch is registered as an investment adviser representative in 2 states. Each was approved in September 2026.
- ArizonaSince 25 September 2026
- TexasSince 18 September 2026
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 2 July 2011 |
| Series 7 | General Securities Representative Examination | 7 April 2011 |
| Series 63 | Uniform Securities Agent State Law Examination | 10 December 2009 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 30 November 2009 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- CRD
- 5730451
- Firm
- Convergence Financial · CRD 304146
- Office
- 60 Bell Rock Plaza, Sedona, AZ 86351
- Registration
- Investment adviser registration
- In the industry since
- November 2009
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- horizonwealthpartners.com
Where does Dawna Westberg-Welch work?
Dawna Westberg-Welch is an investment adviser representative registered through Convergence Financial, LLC since September 2026, and is not listed among the firm’s executive officers or direct owners.
Is Dawna Westberg-Welch a financial advisor?
Yes. Dawna Westberg-Welch has a current investment-adviser registration in Arizona and Texas, through Convergence Financial since September 2026.
How many years of experience does Dawna Westberg-Welch have?
Dawna Westberg-Welch has 16 years in the financial industry, since November 2009, across 4 adviser firms.
What exams has Dawna Westberg-Welch passed?
Dawna Westberg-Welch has passed 4 licensing exams: the Series 6, Series 63, Series 7 and Series 65. The earliest, the Series 6, was passed in November 2009. FINRA credited Dawna Westberg-Welch with the SIE, which began in October 2018.
Where did Dawna Westberg-Welch work before Convergence Financial?
Before Convergence Financial, Dawna Westberg-Welch was registered through J.P. Morgan Securities LLC, October 2012 to April 2016; Chase Investment Services Corp., July 2011 to October 2012.
Where is Dawna Westberg-Welch based?
Dawna Westberg-Welch’s registered office is in Sedona, AZ.
Is Dawna Westberg-Welch registered with FINRA?
No. Dawna Westberg-Welch has no current broker registration.
How can I verify Dawna Westberg-Welch’s record?
Search CRD 5730451 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Dawna Westberg-Welch’s full registration record.
