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Nicholas J Wong

Thrivent Investment Management Inc.

Boulder, CO

Minneapolis, MN

CRD 7164816

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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
CO RA APPROVED 2025-06-27
  • CO RA
    APPROVED
    Since 2025-06-27

Branch Locations

Boulder, CO • United States

600 Portland Ave S, 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
OrganizationCityStateFromTo
Foothills Capital Management, Llc Boulder CO 01/2019 10/2023
Aoi Sushi And Izakaya Boulder CO 05/2019 03/2023
Maxim Financial Boulder CO 10/2018 12/2019
Sushi Zanmai Boulder CO 06/2014 11/2018
Thrivent Financial Appleton WI 01/2024 Present
Thrivent Investment Management Inc Minneapolis MN 01/2024 Present
  • 01/2019 → 10/2023
    Foothills Capital Management, Llc
    Boulder, CO
  • 05/2019 → 03/2023
    Aoi Sushi And Izakaya
    Boulder, CO
  • 10/2018 → 12/2019
    Maxim Financial
    Boulder, CO
  • 06/2014 → 11/2018
    Sushi Zanmai
    Boulder, CO
  • 01/2024 → Present
    Thrivent Financial
    Appleton, WI
  • 01/2024 → Present
    Thrivent Investment Management Inc
    Minneapolis, MN
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-06-26
  • S66 Uniform Combined State Law Examination
    2025-06-26
Other Names
  • Nicholas Wong
  • Nick Wong

View on SEC IAPD

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