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Current Employers
Thrivent Investment Management Inc.

600 Portland Avenue South, Minneapolis, MN 55415 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2025-09-15
DC RA APPROVED 2017-04-19
VA RA APPROVED 2016-02-01
  • TX RA
    APPROVED_RES
    Since 2025-09-15
  • DC RA
    APPROVED
    Since 2017-04-19
  • VA RA
    APPROVED
    Since 2016-02-01

Branch Locations

205 Keith Street, Warrenton, VA 20186 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Thrivent Investment Management Inc Warrenton VA 01/2016 Present
Thrivent Financial Appleton WI 04/2016 Present
Previous Registrations
Other Businesses

LIBERTY RUN HOA POSITION: Board Member NATURE: The HOA is in charge of representing the community members and working to bring the community together. The Board is comprised of up to 7 individuals and a management company which actually oversees the day to day operations of the community. The Board itself is primarily tasked with voting on home improvements, modifications, community contracts (just trash and lawn service) INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2025 ADDRESS: 25 Catoctin Cir, Suite 1631, Leesburg VA 20177, United States DESCRIPTION: Attend meetings, hear management reports, represent neighbors at the meetings and bring feedback back to the community. LIBERTY HIGH SCHOOL BOOSTERS POSITION: Vice president NATURE: The Boosters club is a group of parents of athletes and club members at the school who work with the school to support the athletic and social clubs by raising awareness, staffing the concession stands and helping the groups promote good teamwork and fellowship. The Boosters give all funds they raise back to the school's Director of Student Activities for use to support the sports and social clubs. INVESTMENT RELATED: No NUMBER OF HOURS: 6 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2025 ADDRESS: 6300 Independence Dr, Bealeton VA 22712, United States DESCRIPTION: The VP assists the President with organizing the meetings monthly, securing volunteers to operate the concessions, recruiting coaches and club mentors to solicit student involvement which looks good on college applications and attends meetings with school administration periodically to assess best practices and goals. GREAT CREEK HUNT CLUB POSITION: Treasurer/Secretary NATURE: Organization is a social club for hunting and fishing and other outdoor activities. Members pay dues to cover leasing of land and to pay minimal bills for hunting lodge. Organization is not for profit and all collected dues and fund raising monies are used to support the leasing costs, upkeep costs, etc. for the club. Club has a rule that all checks must be approved by the Board of Directors and signed off by 2 Board members. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 04/09/2022 ADDRESS: 3055 Woodsdale Rd, Alberta VA 23821, United States DESCRIPTION: As secretary, I take meeting notes, publish meeting notes via email to club members and help with collecting of lease signatures.As treasurer, I ensure members pay their dues on time, I collect checks for deposit, I write checks to pay taxes, utility bills and to pay leases.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-05-08
S63 Uniform Securities Agent State Law Examination 2002-12-23
  • S65 Uniform Investment Adviser Law Examination
    2007-05-08
  • S63 Uniform Securities Agent State Law Examination
    2002-12-23
Other Names
  • James E Tobias

View on SEC IAPD

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