Raymond James Carlisle

Employer firm

Thrivent Investment Management Inc. CRD 18387

$20.8B regulatory AUM 84,100 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)

From the firm’s Form ADV. Read the guides:

Current Employers

Thrivent Investment Management Inc.

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

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2004-01-29

CA RA
APPROVED

Since 2004-01-29

Branch Locations

7011 Koll Center Pkwy, Pleasanton, CA 94566 • 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

Organization	City	State	From	To
Thrivent Investment Management Inc.	Pleasanton	CA	07/2002	Present
Thrivent Financial For Lutherans	Appleton	WI	07/2002	Present

07/2002 → Present

Thrivent Investment Management Inc.

Pleasanton, CA
07/2002 → Present

Thrivent Financial For Lutherans

Appleton, WI

Other Businesses

BIRCH LAKES OWNERS ASSOCIATION POSITION: Board Member NATURE: Oversee common area building and associated property for commercial offices which are individually owned. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 10/30/2015 ADDRESS: C/O Kocal Properties, PO Box 6718, Folsom CA 95763, United States DESCRIPTION: Participate in quarterly management meetings help by professional property managers employed by association to oversee building and common area.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2003-12-17
S63	Uniform Securities Agent State Law Examination	1997-12-22

S66 Uniform Combined State Law Examination

2003-12-17
S63 Uniform Securities Agent State Law Examination

1997-12-22

Other Names

Ray Carlisle

View on SEC IAPD