Jase Pennock

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
DC	RA	APPROVED	2026-03-25
OK	RA	APPROVED	2026-03-18
TX	RA	APPROVED	2026-03-17
UT	RA	APPROVED	2026-03-05

DC RA
APPROVED

Since 2026-03-25
OK RA
APPROVED

Since 2026-03-18
TX RA
APPROVED

Since 2026-03-17
UT RA
APPROVED

Since 2026-03-05

Branch Locations

Midvale, UT • United States

600 Portland Ave S Msc 7100, Minneapolis, MN 55415 • 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
Smiths Food And Drug	Cottonwood Heights	UT	06/2015	08/2017
Southern Utah University	Cedar City	UT	08/2016	05/2018
Unemployed	Salt Lake City	UT	05/2018	08/2018
E*Trade Securities Llc	Sandy	UT	08/2018	04/2019
E*Trade Securities Llc	Sandy	UT	04/2019	02/2021
E*Trade Securities Llc	Sandy	UT	02/2021	09/2023
E*Trade Capital Management Llc	Sandy	UT	01/2022	09/2023
Morgan Stanley	Sandy	UT	03/2023	10/2025
Morgan Stanley	Sandy	UT	09/2023	11/2025
Thrivent Investment Management Inc	Minneapolis	MN	02/2026	Present
Thrivent Financial	Appleton	WI	02/2026	Present

06/2015 → 08/2017

Smiths Food And Drug

Cottonwood Heights, UT
08/2016 → 05/2018

Southern Utah University

Cedar City, UT
05/2018 → 08/2018

Unemployed

Salt Lake City, UT
08/2018 → 04/2019

E*Trade Securities Llc

Sandy, UT
04/2019 → 02/2021

E*Trade Securities Llc

Sandy, UT
02/2021 → 09/2023

E*Trade Securities Llc

Sandy, UT
01/2022 → 09/2023

E*Trade Capital Management Llc

Sandy, UT
03/2023 → 10/2025

Morgan Stanley

Sandy, UT
09/2023 → 11/2025

Morgan Stanley

Sandy, UT
02/2026 → Present

Thrivent Investment Management Inc

Minneapolis, MN
02/2026 → Present

Thrivent Financial

Appleton, WI

Previous Registrations

2023-09-05 → 2025-11-18

Morgan Stanley

Sandy, UT
2022-04-26 → 2023-09-05

Harrisdirect Llc

Arlington, VA

Sandy, UT

Other Businesses

DATA ANNOTATION POSITION: AI Trainer NATURE: I will apply my finance expertise to evaluate, annotate, and improve AI-generated responses related to corporate and investment finance concepts to improve the accuracy and reliability of AI tools used in the financial industry. INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 08/31/2026 ADDRESS: 8037 S Allen St, Midvale UT 84047, United States DESCRIPTION: Review and evaluate AI-generated responses to finance-related prompts for accuracy, clarity, and professional appropriateness Annotate and rank model outputs to guide AI training and improvement Write clear, expert-level answers to finance questions that serve as model training examples Flag errors, misconceptions, or ambiguous outputs and provide corrective guidance Maintain consistent quality and throughput throughout the sprint engagement

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2022-04-25
S63	Uniform Securities Agent State Law Examination	2018-09-24

S65 Uniform Investment Adviser Law Examination

2022-04-25
S63 Uniform Securities Agent State Law Examination

2018-09-24

Other Names

Jase Pennock
Jase Matthew Pennock

View on SEC IAPD