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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

AuthorityCategoryStatusDate
OK RA APPROVED 2025-01-06
DC RA APPROVED 2025-01-02
TX RA APPROVED 2024-12-26
CO RA APPROVED 2024-12-18
  • OK RA
    APPROVED
    Since 2025-01-06
  • DC RA
    APPROVED
    Since 2025-01-02
  • TX RA
    APPROVED
    Since 2024-12-26
  • CO RA
    APPROVED
    Since 2024-12-18

Branch Locations

600 Portland Ave S Msc 7100, Minneapolis, MN 55415 • United States

Denver, CO • 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
Tiaa-Cref Individual & Institutional Services, Llc Denver CO 05/2011 03/2017
Tiaa Denver CO 05/2011 10/2021
Tiaa-Cref Individual & Institutional Services, Llc Denver CO 10/2017 10/2021
Prudential Insurance Company Of America Denver CO 10/2021 12/2024
Pruco Securities, Llc. Denver CO 10/2021 12/2024
Thrivent Investment Management Inc Minneapolis MN 12/2024 Present
Thrivent Financial Appleton WI 12/2024 Present
Previous Registrations
Other Businesses

2375 E. MAIN ST, LLC POSITION: Owner NATURE: Multifamily rentals INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 08/01/2021 ADDRESS: 4198 S. Sebring Ct, Denver CO 80237, United States DESCRIPTION: General administration

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-08-29
S63 Uniform Securities Agent State Law Examination 2011-06-28
  • S66 Uniform Combined State Law Examination
    2014-08-29
  • S63 Uniform Securities Agent State Law Examination
    2011-06-28
Other Names
  • Mauro E Maich
  • Esteban Maich

View on SEC IAPD

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