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Neal J Carlson

Thrivent Investment Management Inc.

Minneapolis, MN

Lake Elmo, MN

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Current Employers
Thrivent Investment Management Inc.

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

Current Registrations

AuthorityCategoryStatusDate
MN RA APPROVED 2017-08-08
  • MN RA
    APPROVED
    Since 2017-08-08

Branch Locations

600 Portland Ave S, Minneapolis, MN 55415 • United States

Lake Elmo, MN • 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
Minnesota Life Ins Co St Paul MN 06/2013 Present
Securian Financial Services, Inc St Paul MN 07/2013 Present
Cri Securities, Llc St Paul MN 03/2014 Present
Thrivent Investment Management Inc Minneapolis MN 08/2017 Present
Thrivent Financial Appleton WI 07/2017 Present
  • 06/2013 → Present
    Minnesota Life Ins Co
    St Paul, MN
  • 07/2013 → Present
    Securian Financial Services, Inc
    St Paul, MN
  • 03/2014 → Present
    Cri Securities, Llc
    St Paul, MN
  • 08/2017 → Present
    Thrivent Investment Management Inc
    Minneapolis, MN
  • 07/2017 → Present
    Thrivent Financial
    Appleton, WI
Previous Registrations
  • 2014-01-07 → 2017-06-27
    Securian Financial Services, Inc.
    St Paul, MN
  • 2014-03-05 → 2017-06-27
    Cri Securities, Llc
    St Paul, MN
  • 2011-01-03 → 2013-06-18
    Wells Fargo Clearing Services, Llc
    Minneapolis, MN
  • 2008-02-19 → 2011-01-03
    Wells Fargo Investments, Llc
    Minneapolis, MN
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-08-24
  • S66 Uniform Combined State Law Examination
    2007-08-24
Other Names
  • Neal J Carlson
  • Neal James Carlson
  • Neal Carlson

View on SEC IAPD

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THRIVENT ASSET MANAGEMENT, LLC
THRIVENT PRIVATE INVESTMENTS
THRIVENT FINANCIAL FOR LUTHERANS
CETERA INVESTMENT ADVISERS LLC
LPL FINANCIAL LLC
VAN CLEMENS WEALTH MANAGEMENT, LLC
LOGAN PARK WEALTH MANAGEMENT

Other Investors

Matthew William Hogan
GREGORY ALAN KLEIN
Bryon Andrew Eggan
JAMES P MILEY
ROBYN MARY JOYNER
Cole Hendrickson Carter
Casey Mitchell
Jennifer Elizabeth Finn

Other Offices

HAYS FINANCIAL GROUP, LLC · MINNEAPOLIS, MN
THRIVENT ASSET MANAGEMENT, LLC · MINNEAPOLIS, MN
THRIVENT PRIVATE INVESTMENTS · MINNEAPOLIS, MN
THRIVENT FINANCIAL FOR LUTHERANS · MINNEAPOLIS, MN
CETERA INVESTMENT ADVISERS LLC · MINNEAPOLIS, MN
THRIVENT ASSET MANAGEMENT, LLC · Minneapolis, MN
LPL FINANCIAL LLC · MINNEAPOLIS, MN
THRIVENT ASSET MANAGEMENT, LLC · Minneapolis, MN

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