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Allan Christian Uy

Thrivent Investment Management Inc.

New York, NY

CRD 7778978

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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
NY RA APPROVED 2026-04-17
  • NY RA
    APPROVED
    Since 2026-04-17

Branch Locations

New York, NY • 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 New York NY 03/2026 Present
Unemployed New York NY 11/2025 03/2026
Jefferies Llc New York NY 07/2023 11/2025
Pricewaterhousecoopers Llp New York NY 09/2020 07/2023
I Squared Capital New York NY 11/2019 09/2020
St. John's University Jamaica NY 09/2016 05/2020
Elmsford Raceway Elmsford NY 03/2016 09/2016
Thrivent Financial Appleton WI 03/2026 06/2026
Thrivent Financial Appleton WI 06/2026 Present
  • 03/2026 → Present
    New York, NY
  • 11/2025 → 03/2026
    Unemployed
    New York, NY
  • 07/2023 → 11/2025
    Jefferies Llc
    New York, NY
  • 09/2020 → 07/2023
    Pricewaterhousecoopers Llp
    New York, NY
  • 11/2019 → 09/2020
    I Squared Capital
    New York, NY
  • 09/2016 → 05/2020
    St. John's University
    Jamaica, NY
  • 03/2016 → 09/2016
    Elmsford Raceway
    Elmsford, NY
  • 03/2026 → 06/2026
    Thrivent Financial
    Appleton, WI
  • 06/2026 → Present
    Thrivent Financial
    Appleton, WI
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2026-04-16
  • S66 Uniform Combined State Law Examination
    2026-04-16
Other Names
  • Allan Christian Uy

View on SEC IAPD

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