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Michael James Romano

Thrivent Asset Management, LLC

Minneapolis, MN

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Current Employers
Thrivent Asset Management, Llc

901 Marquette Avenue Suite 2500, Minneapolis, MN 55402-3211 • United States

Current Registrations

AuthorityCategoryStatusDate
MN RA APPROVED 2021-01-05
  • MN RA
    APPROVED
    Since 2021-01-05

Branch Locations

901 Marquette Avenue Suite 2500, Minneapolis, MN 55402 • 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 Distributors, Llc Minneapolis MN 08/2017 Present
Unemployed Boston MA 08/2016 08/2017
Thrivent Financial Appleton WI 08/2017 Present
  • 08/2017 → Present
    Thrivent Distributors, Llc
    Minneapolis, MN
  • 08/2016 → 08/2017
    Unemployed
    Boston, MA
  • 08/2017 → Present
    Thrivent Financial
    Appleton, WI
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2020-12-17
S63 Uniform Securities Agent State Law Examination 2012-03-02
  • S65 Uniform Investment Adviser Law Examination
    2020-12-17
  • S63 Uniform Securities Agent State Law Examination
    2012-03-02

View on SEC IAPD

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