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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
OH RA APPROVED 2004-01-27
  • OH RA
    APPROVED
    Since 2004-01-27

Branch Locations

Malvern, OH • United States

Mesa, AZ • 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 Financial For Lutherans Appleton WI 07/2002 Present
Thrivent Investment Management Inc Malvern OH 07/2002 Present
Other Businesses

ST LUKE LUTHERAN COMMUNITY--MINERVA POSITION: Advisory Committee Member NATURE: LTC Assisted Living Facility INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2017 ADDRESS: 4301 Woodlawn Ave SE, Minerva OH 44657, United States DESCRIPTION: Meet 4x yr to discuss current operations and discuss future plans with suggestions entertained from committee members.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2003-11-12
S63 Uniform Securities Agent State Law Examination 1998-08-10
  • S65 Uniform Investment Adviser Law Examination
    2003-11-12
  • S63 Uniform Securities Agent State Law Examination
    1998-08-10
Other Names
  • Karen Lea Wood
  • Karen Lea Schultz

View on SEC IAPD

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