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Fred Chun Lee

Thrivent Investment Management Inc.

Minneapolis, MN

Las Vegas, NV

Las Vegas, NV

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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 2022-12-14
  • MN RA
    APPROVED
    Since 2022-12-14

Branch Locations

600 Portland Ave S, Minneapolis, MN 55415 • United States

Las Vegas, NV • United States

Las Vegas, NV • 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
U.S. Bancorp Investments, Inc. Vancouver WA 02/2015 12/2019
Wells Fargo Clearing Services, Llc Seattle WA 01/2020 03/2020
U.S. Bancorp Investments, Inc. Vancouver WA 03/2020 Present
Thrivent Investment Management Inc. Minneapolis MN 12/2022 Present
Thrivent Financial Appleton WI 12/2022 Present
Previous Registrations
  • 2020-03-31 → 2022-12-09
    U.S. Bancorp Investments, Inc.
    Vancouver, WA
    Saint Paul, MN
    Vancouver, WA
  • 2020-01-06 → 2020-04-07
    Wells Fargo Clearing Services, Llc
    Seattle, WA
    Vancouver, WA
  • 2015-02-10 → 2019-12-26
    U.S. Bancorp Investments, Inc.
    Saint Paul, MN
    Vancouver, WA
  • 2012-10-31 → 2015-02-06
    Wells Fargo Clearing Services, Llc
    Vancouver, WA
    Vancouver, WA
  • 2012-10-01 → 2012-10-30
    J.P. Morgan Securities Llc
    Portland, OR
    Portland, OR
  • 2012-01-11 → 2012-10-01
    Chase Investment Services Corp.
    Portland, OR
    Portland, OR
  • 2011-01-03 → 2011-12-06
    Wells Fargo Clearing Services, Llc
    Vancouver, WA
    Vancouver, WA
  • 2007-11-21 → 2011-01-03
    Wells Fargo Investments, Llc
    Compton, CA
    Lakewood, CA
    Signal Hill, CA
    Lakewood, CA
    Lakewood, CA
    Long Beach, CA
    Compton, CA
    Vancouver, WA
    Portland, OR
    Vancouver, WA
    Long Beach, CA
  • 2007-04-26 → 2007-09-12
    Morgan Stanley & Co. Llc
    Pasadena, CA
  • 2005-03-07 → 2007-04-30
    Banc Of America Investment Services, Inc.
    Monrovia, CA
    Pasadena, CA
    Pasadena, CA
  • 2004-10-28 → 2005-03-10
    Wells Fargo Investments, Llc
    Los Angeles, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-10-25
  • S66 Uniform Combined State Law Examination
    2004-10-25
Other Names
  • Fred C Lee

View on SEC IAPD

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THRIVENT FINANCIAL FOR LUTHERANS
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LPL FINANCIAL LLC
VAN CLEMENS WEALTH MANAGEMENT, LLC
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Other Investors

Matthew William Hogan
GREGORY ALAN KLEIN
Bryon Andrew Eggan
JAMES P MILEY
ROBYN MARY JOYNER
Cole Hendrickson Carter
Casey Mitchell
Jennifer Elizabeth Finn

Other Offices

HAYS FINANCIAL GROUP, LLC · MINNEAPOLIS, MN
THRIVENT ASSET MANAGEMENT, LLC · MINNEAPOLIS, MN
THRIVENT PRIVATE INVESTMENTS · MINNEAPOLIS, MN
THRIVENT FINANCIAL FOR LUTHERANS · MINNEAPOLIS, MN
CETERA INVESTMENT ADVISERS LLC · MINNEAPOLIS, MN
THRIVENT ASSET MANAGEMENT, LLC · Minneapolis, MN
LPL FINANCIAL LLC · MINNEAPOLIS, MN
THRIVENT ASSET MANAGEMENT, LLC · Minneapolis, MN

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