John Briscoe has been an investment adviser representative at Convergence Financial since September 2019, and is not listed among the firm’s executive officers or direct owners.
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.
John Briscoe’s longest registration was 10 years at Smith Moore & Co. (2008–2019). Before joining Convergence Financial in 2019, John Briscoe was registered through LPL Financial LLC and Smith Moore & Co.
- LPL Financial LLC– · under a yearFort Mill, SC · Adviser representative · Firm CRD 6413
- Smith Moore & Co.– · 10 yearsBoonville, MO · Adviser representative · Firm CRD 3441
Investment adviser representative registrations
John Briscoe is registered as an investment adviser representative in 2 states, as a resident of Texas. The first approvals date from September 2019; the most recent is Texas, in January 2021.
- MissouriSince 27 September 2019
- TexasResidentSince 13 January 2021
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 20 November 2008 |
| Series 63 | Uniform Securities Agent State Law Examination | 28 September 1999 |
| Series 7 | General Securities Representative Examination | 21 September 1999 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- John W. Briscoe
- CRD
- 3277814
- Firm
- Convergence Financial · CRD 304146
- Registration
- Investment adviser and broker registrations
- In the industry since
- September 1999
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does John Briscoe work?
John Briscoe is an investment adviser representative registered through Convergence Financial, LLC since September 2019, and is not listed among the firm’s executive officers or direct owners.
Is John Briscoe a financial advisor?
Yes. John Briscoe has a current investment-adviser registration in Missouri and Texas, through Convergence Financial since September 2019.
How many years of experience does John Briscoe have?
John Briscoe has 27 years in the financial industry, since September 1999, across 3 adviser firms.
What exams has John Briscoe passed?
John Briscoe has passed 3 licensing exams: the Series 7, Series 63 and Series 65. The earliest, the Series 7, was passed in September 1999. FINRA credited John Briscoe with the SIE, which began in October 2018.
Where did John Briscoe work before Convergence Financial?
Before Convergence Financial, John Briscoe was registered through LPL Financial LLC, August 2019 to August 2019; Smith Moore & Co., November 2008 to September 2019.
Is John Briscoe registered with FINRA?
Yes. John Briscoe has a current broker registration, under CRD 3277814.
Source: FINRA BrokerCheck
How can I verify John Briscoe’s record?
Search CRD 3277814 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish John Briscoe’s full registration record.
