THRIVENT INVESTMENT MANAGEMENT INC. of MINNEAPOLIS, MN is an SEC-registered investment adviser (CRD 18387). Regulatory assets under management: $20.8B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Fixed.
Clients served: Individuals, High net worth.
Showing 25 of 148 people.
| Name | Role | Location |
|---|---|---|
| Christopher Alan | VICE PRESIDENT | LOS ANGELES, CA |
| ANDERSON A MARK | DIRECTOR; DIRECTOR AND SENIOR VICE PRESIDENT; SR. VICE PRESIDENT | CHICAGO, IL |
| Andrea Corin Golis | CHIEF COMPLIANCE OFFICER | — |
| Tonia Nicole James Gilchrist | CHIEF LEGAL OFFICER & SECRETARY | — |
| David Jacob Kloster | DIRECTOR AND PRESIDENT; PRESIDENT | — |
| Nicholas M Cecere | DIRECTOR | — |
| Paul Roberts Johnston | DIRECTOR | — |
| Andrew Dylan Norgard | TREASURER | — |
| Caleb Anthony Bousu | DIRECTOR | — |
| Arika Viktoria Johnson | DIRECTOR | — |
| Thomas John Birr | VICE PRESIDENT | — |
| Cynthia Jean Nigbur | ASSISTANT SECRETARY | — |
| Christopher John Osborne | DIRECTOR; HEAD OF ENTERPRISE SUPERVISION | — |
| MORET PAMELA JOYCE | SENIOR VICE PRESIDENT | — |
| JOHNSON LARY PAUL | VICE PRESIDENT | — |
| ABITZ JAMES HERMAN | SENIOR VICE PRESIDENT AND CHIEF INVESTMENT OFFICER; SR VICE PRESIDENT; SR VICE PRESIDENT, DIRECTOR | — |
| JANSEN DEBORAH ANN | VICE PRESIDENT | — |
| SORUM NIKKI LOU | DIRECTOR; DIRECTOR AND SENIOR VICE PRESIDENT; SENIOR VICE PRESIDENT AND DIRECTOR (+1 more) | — |
| SWANSEN RUSSELL WILLIAM | SENIOR VICE-PRESIDENT AND CHIEF INVESTMENT OFFICER | — |
| BOUSHEK RANDALL LEE | DIRECTOR; SENIOR VICE PRESIDENT | — |
| GUIMOND JANICE MARIE | VICE PRESIDENT | — |
| KLOSTER KATIE SUE | VICE PRESIDENT; VICE PRESIDENT AND RULE 206(4)-7 CHIEF COMPLIANCE OFFICER; VICE PRESIDENT, CHIEF FINANCIAL OFFICER | — |
| TURESON KURT SANDER | CHIEF FINANCIAL OFFICER AND TREASURER; DIRECTOR OF AFFILIATE FINANCIAL MANAGEMENT CORPORATE ACCOUNTING, CFO & TREASURER; VICE-PRESIDENT, CHIEF FINANCIAL OFFICER (+1 more) | — |
| THOMSEN JAMES ADLAI | DIRECTOR; DIRECTOR AND PRESIDENT; DIRECTOR AND SENIOR VICE PRESIDENT (+1 more) | — |
| SCHINKE THOMAS CARL | VICE PRESIDENT | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-10-02 | regulatory | THE SEC ISSUED AN ORDER REGARDING CONDUCT THRIVENT HAD SELF-REPORTED TO THE SEC. WITHOUT ADMITTING OR DENYING THE FINDINGS, THRIVENT CONSENTED TO THE ENTRY OF AN ORDER (THE "SETTLEMENT ORDER") FINDING THAT IT VIOLATED THE CARE OBLIGATION AND COMPLIANCE OBLIGATION UNDER RULE 15L-1(A) OF THE EXCHANGE… | Final | $25K |
| 2024-05-28 | regulatory | THE AWC ALLEGED THAT THRIVENT INVESTMENT MANAGEMENT INC. ("THRIVENT") VIOLATED FINRA RULES 3110 AND 2010, SECTION 17(A) OF THE SECURITIES EXCHANGE ACT OF 1934 ("EXCHANGE ACT"), EXCHANGE ACT RULE 17A-3, AND FINRA RULES 4511 AND 2010 BY FAILING TO ESTABLISH AND MAINTAIN A SUPERVISORY SYSTEM REASONABLY… | Final | $325K |
| 2022-07-13 | regulatory | THE CONSENT ORDER RECITED THAT THRIVENT INVESTMENT MANAGEMENT INC. ("THRIVENT") SUBMITTED TO THE MISSOURI SECURITIES DIVISION A REGISTRATION APPLICATION FOR ONE OF ITS AGENTS THAT FAILED TO DISCLOSE A PRIOR CUSTOMER COMPLAINT AGAINST THE AGENT AND DID NOT FILE A CORRECTING AMENDMENT OF THE AGENT'S F… | Final | $2K |
| 2018-08-09 | regulatory | THE AWC ALLEGED THAT THRIVENT INVESTMENT MANAGEMENT, INC. VIOLATED NASD RULE 3010 AND FINRA RULES 3110 AND 2010 BY FAILING TO REASONABLY SUPERVISE MUTUAL FUND SALES TO ENSURE ELIGIBLE CUSTOMERS RECEIVED THE BENEFIT OF APPLICABLE SALES CHARGE WAIVERS AND BREAKPOINT DISCOUNTS. | Final | — |
| 2017-05-05 | regulatory | THE DEPARTMENT'S CONSENT ORDER RECITED THAT THRIVENT INVESTMENT MANAGEMENT INC. FAILED TO MAINTAIN APPROPRIATE BOOKS-AND-RECORDS, IN VIOLATION OF THE ILLINOIS SECURITIES ACT, SECTION 8.E.1(Q). THE BASIS FOR THE SECTION 8.E.1(Q) VIOLATION RELATED TO CERTAIN INSTANCES, DURING THE PERIOD JANUARY 1, 201… | Final | $400K |
| 2017-04-10 | regulatory | THE DEPARTMENT'S CONSENT ORDER RECITED THAT THRIVENT INVESTMENT MANAGEMENT INC. FAILED TO MAINTAIN APPROPRIATE BOOKS-AND-RECORDS, IN VIOLATION OF THE ILLINOIS SECURITIES ACT, SECTION 8.E.1(Q). THE BASIS FOR THE SECTION 8.E.1(Q) VIOLATION RELATED TO CERTAIN INSTANCES, DURING THE PERIOD JANUARY 1, 201… | Final | $400K |
| 2014-12-18 | regulatory | FINRA ALLEGED THAT THRIVENT INVESTMENT MANAGEMENT INC. ("THRIVENT") VIOLATED SEC RULE 10B-10, NASD CONDUCT RULES 2230 AND 2110 AND FINRA RULES 2232 AND 2010 BY FAILING TO DELIVER TRADE CONFIRMATIONS TO THRIVENT MUTUAL FUND SHAREHOLDERS PERTAINING TO CERTAIN ONE-TIME AND CERTAIN OTHER MUTUAL FUND SHA… | Final | $375K |
| — | regulatory | — | — | — |
| — | criminal | — | — | — |
Showing 15 of 25 offices.
| City | State | Employees | Phone |
|---|---|---|---|
| GOLDEN VALLEY | MN | 48 | 763-746-3121 |
| DOWNERS GROVE | IL | 28 | (312) 515-3293 |
| BURNSVILLE | MN | 27 | 651-387-7397 |
| ST. LOUIS | MO | 25 | (314) 783-4203 |
| CARMEL | IN | 24 | (317) 345-6047 |
| GREENWOOD VILLAGE | CO | 22 | 303-638-7601 |
| BELLEVUE | WA | 21 | (253) 355-2438 |
| LAS VEGAS | NV | 19 | 702-561-7850 |
| JOHNSTON | IA | 18 | 309-224-6619 |
| GLENDALE | CA | 18 | 818-648-3680 |
| IRVINE | CA | 17 | (619) 368-5533 |
| DEL MAR | CA | 16 | 858-455-5227 |
| OVERLAND PARK | KS | 16 | 816-745-5687 |
| ATLANTA | GA | 16 | (407) 942-1332 |
| CEDARBURG | WI | 16 | 262-421-5467 |