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Lisa Dorothy Berg

Thrivent Investment Management Inc.

Glenwood, MN

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Current Employers
Thrivent Investment Management Inc.

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

Current Registrations

AuthorityCategoryStatusDate
MN RA APPROVED 2019-03-11
  • MN RA
    APPROVED
    Since 2019-03-11

Branch Locations

12 6Th Ave Nw, Glenwood, MN 56334 • 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
Eagle Bank Dba Eagle Financial Services Glenwood MN 05/2015 03/2019
Securities America, Inc. Glenwood MN 07/2015 03/2019
Securities America Advisors Glenwood MN 07/2015 03/2019
Thrivent Investment Management Inc Glenwood MN 03/2019 Present
Thrivent Financial Appleton WI 03/2019 Present
  • 05/2015 → 03/2019
    Eagle Bank Dba Eagle Financial Services
    Glenwood, MN
  • 07/2015 → 03/2019
    Securities America, Inc.
    Glenwood, MN
  • 07/2015 → 03/2019
    Securities America Advisors
    Glenwood, MN
  • 03/2019 → Present
    Thrivent Investment Management Inc
    Glenwood, MN
  • 03/2019 → Present
    Thrivent Financial
    Appleton, WI
Previous Registrations
  • 2015-07-22 → 2019-03-04
    Securities America Advisors, Inc.
    Glenwood, MN
  • 2015-05-07 → 2015-07-27
    Fintegra, Llc
    Glenwood, MN
  • 2013-12-16 → 2015-04-07
    Ameriprise Financial Services, Llc
    Alexandria, MN
    Alexandria, MN
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-06-03
  • S66 Uniform Combined State Law Examination
    2002-06-03
Other Names
  • Lisa Dorothy Smith
  • Lisa Dorothy Carlton
  • Lisa Dorothy Smith

View on SEC IAPD

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Other Investors

WILLIAM CURTIS OGDAHL
Colin Arnold Richards
JOHN ROBERT DEAN
TIMOTHY L JOHNSON
DANE CHRISTOPHER ANKENY
Dustin Joel Christenson
WENDY MARIE OKSNESS
Alan Marvin Iverson

Other Offices

CETERA INVESTMENT ADVISERS LLC · GLENWOOD, MN
CETERA INVESTMENT ADVISERS LLC · GLENWOOD, MN
USADVISORS WEALTH MANAGEMENT, LLC · GLENWOOD, MN
EDWARD JONES · GLENWOOD, MN
LPL FINANCIAL LLC · ALEXANDRIA, MN
THRIVENT INVESTMENT MANAGEMENT INC. · ALEXANDRIA, MN
EDWARD JONES · ALEXANDRIA, MN
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · ALEXANDRIA, MN

More in Glenwood, MN

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