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Current Employers
Thrivent Investment Management Inc.

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

Current Registrations

AuthorityCategoryStatusDate
WI RA APPROVED 2023-06-12
  • WI RA
    APPROVED
    Since 2023-06-12

Branch Locations

189 E Chestnut Street, Burlington, WI 53105 • 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 Burlington WI 06/2015 Present
Thrivent Financial Appleton WI 11/2015 Present
Other Businesses

SIDE BY SIDE POSITION: Board Member NATURE: Side by Sidehelps the working poor of the Lake Geneva area. Any short-term financial crisis: losing a job, facing sudden expenses or being incapacitated by an illness may lead to an eviction order or a utilities shut-off notice homelessness becomes a very real possibility for them. Side by Side offers families emergency financial assistance while they apply for long-term support from government programs or other supportive sources. INVESTMENT RELATED: No NUMBER OF HOURS: 6 SECURITIES TRADING HOURS: 0 START DATE: 02/09/2017 ADDRESS: 715 Wisconsin Street, Lake Geneva WI 53147, United States DESCRIPTION: I am now the past President of the Board of Directors, currently a Board Member.There is a BODmeetingand a general meetingonce a month and those looking forfinancial support for their rent, utilities, or prescription medicationapplyonce a month.New point 6.19.17 Question 2: Iparticipate in fundraising efforts to raise money for the organization, such as waitressing at the local restaurant onnights that our charity receives a portion of the proceeds, speaking at the rotary cluband charity luncheons thatwill be donating money to Side by Side, andmay on occasion meet potential donors orfundraising peersfor lunch or a coffee.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2023-06-09
S63 Uniform Securities Agent State Law Examination 2015-08-10
  • S65 Uniform Investment Adviser Law Examination
    2023-06-09
  • S63 Uniform Securities Agent State Law Examination
    2015-08-10
Other Names
  • Diane Louise Kennedy

View on SEC IAPD

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