Brian William Brooks

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
TX	RA	APPROVED_RES	2011-10-19
AZ	RA	APPROVED	2004-02-10

TX RA
APPROVED_RES

Since 2011-10-19
AZ RA
APPROVED

Since 2004-02-10

Branch Locations

17015 N Scottsdale Rd, Scottsdale, AZ 85255 • United States

201 N Alarcon St, Prescott, AZ 86301 • United States

Phoenix, AZ • 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.	Scottsdale	AZ	07/2002	Present
Thrivent Financial	Appleton	WI	07/2002	Present

07/2002 → Present

Thrivent Investment Management Inc.

Scottsdale, AZ
07/2002 → Present

Thrivent Financial

Appleton, WI

Other Businesses

PIPELINE WORLDWIDE POSITION: Board Member NATURE: Non-Profit organization that provides assistance to other non-profits and funds projects that promote sustainable change in Eastern Africa. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2016 ADDRESS: P.O. Box 22236, Phoenix AZ 85028, United States DESCRIPTION: I assist in fundraising activities, promoting awareness, as well as setting strategic direction and approving projects/initiatives of the organization.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2003-10-06
S63	Uniform Securities Agent State Law Examination	2000-04-25

S66 Uniform Combined State Law Examination

2003-10-06
S63 Uniform Securities Agent State Law Examination

2000-04-25

View on SEC IAPD