James Lee Smith

Thrivent Investment Management Inc.

CRD 6927492

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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

Authority	Category	Status	Date
TX	RA	APPROVED	2018-07-12
IL	RA	APPROVED	2018-07-02

TX RA
APPROVED

Since 2018-07-12
IL RA
APPROVED

Since 2018-07-02

Branch Locations

Humble, TX • 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

Organization	City	State	From	To
Philips Healthcare	Chicago	IL	07/2011	11/2017
Thrivent Investment Management Inc	Humble	TX	04/2018	Present
Unemployed	Chicago	IL	11/2017	05/2018
Thrivent Financial	Appleton	WI	05/2018	09/2018
Thrivent Financial	Appleton	WI	09/2018	Present

07/2011 → 11/2017

Philips Healthcare

Chicago, IL
04/2018 → Present

Thrivent Investment Management Inc

Humble, TX
11/2017 → 05/2018

Unemployed

Chicago, IL
05/2018 → 09/2018

Thrivent Financial

Appleton, WI
09/2018 → Present

Thrivent Financial

Appleton, WI

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2018-06-30

S66 Uniform Combined State Law Examination

2018-06-30

View on SEC IAPD

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