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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
NY RA APPROVED 2026-03-17
  • NY RA
    APPROVED
    Since 2026-03-17

Branch Locations

Hilton, NY • United States

Hilton, NY • 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
The Horizon Group West Henreitta NY 08/2004 04/2021
Securities Service Network West Henreitta NY 06/2015 09/2020
Securities America, Inc. West Henrietta NY 09/2020 12/2020
Private Client Services West Henrietta NY 01/2021 02/2026
Horizon Advisory Services, Inc. West Henrietta NY 04/2021 02/2026
Thrivent Investment Management Inc Hilton NY 02/2026 Present
Thrivent Financial Appleton WI 03/2026 04/2026
Thrivent Financial Appleton WI 04/2026 Present
  • 08/2004 → 04/2021
    The Horizon Group
    West Henreitta, NY
  • 06/2015 → 09/2020
    Securities Service Network
    West Henreitta, NY
  • 09/2020 → 12/2020
    Securities America, Inc.
    West Henrietta, NY
  • 01/2021 → 02/2026
    Private Client Services
    West Henrietta, NY
  • 04/2021 → 02/2026
    Horizon Advisory Services, Inc.
    West Henrietta, NY
  • 02/2026 → Present
    Hilton, NY
  • 03/2026 → 04/2026
    Thrivent Financial
    Appleton, WI
  • 04/2026 → Present
    Thrivent Financial
    Appleton, WI
Previous Registrations
Other Businesses

NOTARY PUBLIC POSITION: Notary Public NATURE: Notarize documents on occasion (1/month) INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 07/02/2006 ADDRESS: 110 Dunbar Road, Hilton NY 14468, United States DESCRIPTION: I notarize documents on occasion (less than 1/month) - I do not charge a fee.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2021-04-01
S63 Uniform Securities Agent State Law Examination 2007-10-05
  • S65 Uniform Investment Adviser Law Examination
    2021-04-01
  • S63 Uniform Securities Agent State Law Examination
    2007-10-05
Other Names
  • Carrie Beth Ladue
  • Carrie Beth Ladue

View on SEC IAPD

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