Full text of THRIVENT INVESTMENT MANAGEMENT INC.'s X-17A-5 filed 2024-02-27 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ Financial Statements and Supplemental Information Thrivent Investment Management Inc. SEC File Number: 8-36525 As of and for the year ended December 31, 2023 With Thrivent Investment Management, Inc.'s Exemption Report and Reports of Independent Registered Public Accounting Firm Required by SEC Rule l 7a-5 This report is deemed confidential in accordance with rule l 7a-5(e)(3) under the Securities Exchange Act of 1934. A Statement of Financial Condition and Report of Independent Registered Public Accounting Firm, bound separately, have been filed with the U.S. Securities and Exchange Commission simultaneously as a Public Document.  600 Portland Ave. S. Minneapolis, MN 55415-1665 800-847-4836 • thrivent.com {1}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 # **ANNUAL REPORTS FORM X-17A-5 PART** Ill | | SEC FILE NUMBER | | |--|-----------------|--| 8-36525 **FACING PAGE** **Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING **01/01/2023** AND ENDING **12/31/2023** MM/DD/VY MM/DD/VY **A. REGISTRANT IDENTIFICATION** NAME oF FIRM: Thrivent Investment Management, Inc. TYPE OF REGISTRANT (check all applicable boxes): [!] Broker-dealer □ Security-based swap dealer D Check here if respondent is also an OTC derivatives dealer D Major security-based swap participant ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) # 600 Portland Avenue S | Minneapolis | MN | | 55415 | |---------------------------------------------------------|---------------------------------------------------------------------------|---------------------------|------------| | (City) | (State) | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | Andrew Norgard | 612-844-5508 | andy.norgard@thrivent.com | | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | PricewaterhouseCoopers LLC | | | | | | (Name - if individual, state last, first, and middle name) | | | | 45 South Seventh St. Suite 3400 Minneapolis | | MN | 55402 | | (Address) | (City) | (State) | (Zip Code) | | 10/20/2003<br>rte of Reg…Read the full text as markdown