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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 2025-04-22
TX RA APPROVED 2025-04-22
WI RA APPROVED 2025-04-22
  • MN RA
    APPROVED
    Since 2025-04-22
  • TX RA
    APPROVED
    Since 2025-04-22
  • WI RA
    APPROVED
    Since 2025-04-22

Branch Locations

4321 North Ballard Road, Ste A1-Glag, Appleton, WI 54919 • United States

Austin, MN • 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
Pruco Securities, Llc Appleton WI 04/2015 12/2016
The Prudential Insurance Company Of America Appleton WI 04/2015 12/2016
Jp Morgan Securities Llc Oshkosh WI 12/2016 06/2018
Jp Morgan Chase Bank Oshkosh WI 12/2016 06/2018
Lakeland University Neenah WI 05/2015 06/2018
Thrivent Investment Management Inc Appleton WI 06/2018 Present
Thrivent Financial Appleton WI 06/2018 05/2019
Thrivent Financial Appleton WI 05/2019 07/2019
Thrivent Financial Appleton WI 07/2019 Present
  • 04/2015 → 12/2016
    Pruco Securities, Llc
    Appleton, WI
  • 04/2015 → 12/2016
    The Prudential Insurance Company Of America
    Appleton, WI
  • 12/2016 → 06/2018
    Jp Morgan Securities Llc
    Oshkosh, WI
  • 12/2016 → 06/2018
    Jp Morgan Chase Bank
    Oshkosh, WI
  • 05/2015 → 06/2018
    Lakeland University
    Neenah, WI
  • 06/2018 → Present
    Appleton, WI
  • 06/2018 → 05/2019
    Thrivent Financial
    Appleton, WI
  • 05/2019 → 07/2019
    Thrivent Financial
    Appleton, WI
  • 07/2019 → Present
    Thrivent Financial
    Appleton, WI
Other Businesses

STATE OF WISCONSIN POSITION: Notary Public NATURE: Notary Public services for few select associates INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 03/30/2017 ADDRESS: 1299 Hoot Owl Ct, Neenah WI 54956, United States DESCRIPTION: only as required ICONIC LLC POSITION: Owner NATURE: Youth Soccer coaching INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 04/01/2019 ADDRESS: 1299 Hoot Owl Ct, Neenah WI 54956, United States DESCRIPTION: Personal soccer skills training DAWN CAPITAL POSITION: Vice President NATURE: The African diaspora community in NE Wisconsin decided to form a partnership of families to promote an Afrocentric group for social cooperation, promoting & supporting our business events and providing financial assistance to members as agreed in our organizational policies. INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2020 ADDRESS: 306 Morning Sun Dr, Appleton WI 54913, United States DESCRIPTION: Assist the President with activities and events as needed. Community engagement to advertise upcoming events Fund raising THE FAMILY RADIO STATION POSITION: Member Board of Directors NATURE: Christian Radio Station INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 04/01/2022 ADDRESS: 1909 W 2nd Street, Appleton WI 54914, United States DESCRIPTION: Quarterly oversight meetings to ensure that the station is being run within the prescribed by-laws and organizational statutes and objectives. This is a voluntary position for an initial period of up to 3 years. This may be extended for up to 6 years.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2025-04-02
S63 Uniform Securities Agent State Law Examination 2015-07-02
  • S65 Uniform Investment Adviser Law Examination
    2025-04-02
  • S63 Uniform Securities Agent State Law Examination
    2015-07-02

View on SEC IAPD

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