Best Investors Account Sign in

Catherine Lee Hargrave

Thrivent Investment Management Inc.

Berlin, WI

Ripon, WI

Claim This Profile
Current Employers
Thrivent Investment Management Inc.

600 Portland Avenue South, Minneapolis, MN 55415 • United States

Current Registrations

AuthorityCategoryStatusDate
WI RA APPROVED 2022-04-11
  • WI RA
    APPROVED
    Since 2022-04-11

Branch Locations

141 W Huron St, Berlin, WI 54923 • United States

201 E Fond Du Lac St, Ripon, WI 54971 • 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 Investment Management Inc Berlin WI 07/2014 Present
Thrivent Financial Appleton WI 01/2015 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2022-04-08
S63 Uniform Securities Agent State Law Examination 2014-10-24
  • S65 Uniform Investment Adviser Law Examination
    2022-04-08
  • S63 Uniform Securities Agent State Law Examination
    2014-10-24
Other Names
  • Cathy Lee Hargrave

View on SEC IAPD

Other Firms

STATE FARM INVESTMENT MANAGEMENT CORP.
CARL M. HENNIG, INC.
EDWARD JONES
LPL FINANCIAL LLC
OSAIC WEALTH, INC.
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
U.S. BANCORP ADVISORS, LLC
CETERA INVESTMENT ADVISERS LLC

Other Investors

CAREN LU REICH
DAVID ROBERT SHATTUCK
James Raymond Carriveau
Robert Paul Shattuck
Ryan P Gravunder
David A Stone
Shad William Horton
Gregory Adam Dragolovich

Other Offices

STATE FARM INVESTMENT MANAGEMENT CORP. · Berlin, WI
CARL M. HENNIG, INC. · BERLIN, WI
EDWARD JONES · BERLIN, WI
EDWARD JONES · Ripon, WI
EDWARD JONES · RIPON, WI
LPL FINANCIAL LLC · RIPON, WI
OSAIC WEALTH, INC. · RIPON, WI
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · PRINCETON, WI

More in Berlin, WI

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor