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Current Employers
Thrivent Advisor Network, Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2022-08-19
MI RA APPROVED 2020-05-22
  • TX RA
    APPROVED_RES
    Since 2022-08-19
  • MI RA
    APPROVED
    Since 2020-05-22

Branch Locations

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

3300 Washtenaw Ave Ste 225, Ann Arbor, MI 48104 • 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 Investment Management Inc Ann Arbor MI 11/2003 06/2020
Thrivent Financial For Lutherans Appleton WI 12/2003 06/2020
Thrivent Advisor Network, Llc D/B/D Sea Glass Wealth Advisors Ann Arbor MI 06/2020 Present
Purshe Kaplan Sterling Investments, Inc. Albany NY 06/2020 09/2024
Thrivent Investment Management Inc Ann Arbor MI 09/2024 Present
  • 11/2003 → 06/2020
    Ann Arbor, MI
  • 12/2003 → 06/2020
    Thrivent Financial For Lutherans
    Appleton, WI
  • 06/2020 → Present
    Thrivent Advisor Network, Llc D/B/D Sea Glass Wealth Advisors
    Ann Arbor, MI
  • 06/2020 → 09/2024
    Purshe Kaplan Sterling Investments, Inc.
    Albany, NY
  • 09/2024 → Present
    Ann Arbor, MI
Previous Registrations
Other Businesses

FIXED INSURANCE POSITION: Agent NATURE: Sale of Fixed/Traditional Insurance INVESTMENT RELATED: No NUMBER OF HOURS: 30 SECURITIES TRADING HOURS: 30 START DATE: 06/01/2020 ADDRESS: 3300 Wastenw Ave, Suite 225, Ann Arbor MI 48014, United States DESCRIPTION: Sale of Fixed/Traditional Insurance THRIVENT ADVISOR NETWORK, LLC DBA SEA GLASS WEALTH ADVISORS POSITION: Wealth Advisor NATURE: Affiliated Retail Investment Advisory Firm INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 06/04/2020 ADDRESS: 3300 Washtenaw Ave, Suite 225, Ann Arbor MI 48104, United States DESCRIPTION: Provide Investment Advisory services to retail clients AAG OPERATIONS, LLC POSITION: COO NATURE: LLC is established for the expenses for TAN/TIMI business INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 06/04/2020 ADDRESS: 3300 Washtenaw Ave, Suite 225, Ann Arbor MI 48104, United States DESCRIPTION: Manage staff, process payroll, accounts payable and receivable,

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-09-24
  • S66 Uniform Combined State Law Examination
    2001-09-24
Other Names
  • Catherine Lynn Ray
  • Catherine Lynn Ray
  • Catherine L Gateman
  • Catherine Lynn Gateman

View on SEC IAPD

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