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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 2020-02-25
CA RA APPROVED 2004-01-29
  • TX RA
    APPROVED_RES
    Since 2020-02-25
  • CA RA
    APPROVED
    Since 2004-01-29

Branch Locations

5290 Overpass Rd, Santa Barbara, CA 93111 • United States

320 James Way Ste 250, Pismo Beach, CA 93449 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Thrivent Financial For Lutherans Appleton WI 07/2002 Present
Thrivent Investment Management Inc. Santa Barbara CA 07/2002 Present
Other Businesses

RENTAL PROPERTY - GARDENWOOD POSITION: Owner NATURE: Rental property INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 11/07/2011 ADDRESS: 4615 Gardenwood Street, Bakersfield CA 93309, United States DESCRIPTION: Pay taxes RENTAL PROPERTY - LORELEI ROCK POSITION: Owner NATURE: Rental Property INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 07/31/2012 ADDRESS: 9107 lorelei Rock Dr, Bakersfield CA 93306, United States DESCRIPTION: Pay taxes CREEKSIDE PLAZA POSITION: Director NATURE: This is a board to manage the office building in which I own and operate my Thrivent office. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 10/31/2022 ADDRESS: 5290 Overpass Rd, Santa Barbara CA 93111, United States DESCRIPTION: 4 meetings a year for about 1 hour each. Work on budget and review and vote on how to best maintain the condo complex. I own one unit of 50 and and not collecting an rent. I have been asked to serve on the board so that there is some owner occupied representation on the board

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-06-28
S63 Uniform Securities Agent State Law Examination 1999-10-19
  • S66 Uniform Combined State Law Examination
    2002-06-28
  • S63 Uniform Securities Agent State Law Examination
    1999-10-19

View on SEC IAPD

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