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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
IL RA APPROVED 2020-02-25
TX RA APPROVED 2020-02-25
  • IL RA
    APPROVED
    Since 2020-02-25
  • TX RA
    APPROVED
    Since 2020-02-25

Branch Locations

Western Springs, IL • United States

1411 Opus Place, Downers Grove, IL 60515 • 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
Northwestern Mutual Life Insurance Company Milwaukee WI 08/2014 01/2020
Northwestern Mutual Investment Services Llc Chicago IL 03/2015 01/2020
Northwestern Mutual Wealth Management Company Milwaukee WI 04/2016 01/2020
Thrivent Investment Management Inc Downers Grove IL 01/2020 Present
Thrivent Financial Appleton WI 01/2020 03/2020
Thrivent Financial Appleton WI 03/2020 Present
  • 08/2014 → 01/2020
    Northwestern Mutual Life Insurance Company
    Milwaukee, WI
  • 03/2015 → 01/2020
    Northwestern Mutual Investment Services Llc
    Chicago, IL
  • 04/2016 → 01/2020
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
  • 01/2020 → Present
    Downers Grove, IL
  • 01/2020 → 03/2020
    Thrivent Financial
    Appleton, WI
  • 03/2020 → Present
    Thrivent Financial
    Appleton, WI
Other Businesses

MOUNT CARMEL HIGH SCHOOL ALUMNI ASSOCIATION POSITION: Board member NATURE: Volunteer Alumni organization for Mount Carmel High School INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2019 ADDRESS: 6410 S. Dante Ave., Chicago IL 60637, United States DESCRIPTION: Organize alumni activities and events

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-02-24
S63 Uniform Securities Agent State Law Examination 2015-06-11
  • S66 Uniform Combined State Law Examination
    2020-02-24
  • S63 Uniform Securities Agent State Law Examination
    2015-06-11
Other Names
  • Patrick John Joyce
  • Pat Joyce
  • Patrick Joyce

View on SEC IAPD

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