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Current Employers
Thrivent Investment Management Inc.

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2004-04-13
NC RA APPROVED 2002-08-05
  • TX RA
    APPROVED_RES
    Since 2004-04-13
  • NC RA
    APPROVED
    Since 2002-08-05

Branch Locations

4530 Park Rd, Charlotte, NC 28209 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Thrivent Investment Management Inc. Charlotte NY 07/2002 Present
Thrivent Financial For Lutherans Appleton WI 07/2002 Present
Previous Registrations
  • 2000-12-31 → 2002-08-05
    Lutheran Brotherhood Securities Corp.
    Charlotte, NC
Other Businesses

FARM PROPERTY 979 STARTOWN ROAD LINCOLNTON, NC 28092, OWNER. I PURCHASED THE PROPERTY ON SEPT. 28, 2013, I DO NOT SPEND ANY HOURS DEVOTED TO THE BUSINESS AND NOR DO I SPEND ANY HOURS DURING SECURITY TRADING HOURS, THE FARM IS NOT INVESTMENT RELATED, I LEASE THE PROPERTY TO A FARMER IN ORDER FOR IT TO QUALIFY AS A FARM FOR TAX PURPOSES. I DO NOT RECEIVE ANY INCOME FROM THE FARM. FIVE OAKS FARM REALTY LLC POSITION: Owner NATURE: Rental Homes 321 sycamore st ,lincolnton nc 28092956 startown road, lincolnton nc 28092 INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 08/01/2023 ADDRESS: 979 Startown Road, Lincolnton NC 28092, United States DESCRIPTION: Leadership Co-Owner of LLC

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-06-05
S63 Uniform Securities Agent State Law Examination 1985-12-05
  • S65 Uniform Investment Adviser Law Examination
    1998-06-05
  • S63 Uniform Securities Agent State Law Examination
    1985-12-05

View on SEC IAPD

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