Rickie C. Farrell

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CRD#: 1104539

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Rickie Clifford Farrell, who also goes by Rick Clifford Farrell, was a registered financial professional .

Rickie is a previously registered financial professional and started their career in finance in 1994. Rickie had worked at 3 firms and has passed the Series 65, Series 63, Series 7, Series 52, Series 27, Series 4, Series 24 and Series 53 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Rick Clifford Farrell

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

April 18, 2011 - June 11, 2014

THRIVENT INVESTMENT MANAGEMENT INC.

RIA

CRD#: 18387

OVERLAND PARK, KS

Past

April 18, 2011 - June 11, 2014

THRIVENT INVESTMENT MANAGEMENT INC.

CRD#: 18387

OVERLAND PARK, KS

Past

September 8, 2008 - June 11, 2009

WADDELL & REED

RIA

CRD#: 866

OVERLAND PARK, KS

Past

September 8, 2008 - June 11, 2009

WADDELL & REED

CRD#: 866

OVERLAND PARK, KS

Past

September 3, 2004 - September 2, 2008

UMB FINANCIAL SERVICES, INC.

RIA

CRD#: 17073

KANSAS CITY, MO

Past

August 15, 1994 - September 2, 2008

UMB FINANCIAL SERVICES, INC.

CRD#: 17073

KANSAS CITY, MO

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

THRIVENT INVESTMENT MANAGEMENT INC.

AAL CAPITAL MANAGEMENT CORPORATION | THRIVENT INVESTMENT MANAGEMENT INC. | FORTRESS DISTRIBUTORS, INC. | AAL DISTRIBUTORS INC.

CRD#: 18387 / SEC#: 801-29618, 8-36525

RIA

Registered Investment Advisory firm - SEC (5/18/1987 Approved)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/2/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/23/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/12/1994

General Securities Representative Examination

General Industry/Product Exam

Series 52

Date: 3/13/1992

Municipal Securities Representative Examination

Principal/Supervisory Exam

Series 27

Date: 6/8/1998

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 4

Date: 9/12/1995

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 1/20/1995

General Securities Principal Examination

Principal/Supervisory Exam

Series 53

Date: 6/5/1992

Municipal Securities Principal Examination

Current Firm

THRIVENT INVESTMENT MANAGEMENT INC.

AAL CAPITAL MANAGEMENT CORPORATION | THRIVENT INVESTMENT MANAGEMENT INC. | FORTRESS DISTRIBUTORS, INC. | AAL DISTRIBUTORS INC.

CRD#: 18387 / SEC#: 801-29618, 8-36525

RIA

Registered Investment Advisory firm - SEC (5/18/1987 Approved)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

600 Portland Avenue South, Minneapolis, MN 55415

Mailing Address

600 Portland Avenue South, Minneapolis, MN 55415

Phone number

+1 (800) 847-4836

Established

Delaware since 07/29/1986

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

3,846

SEC notice filing (51 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

THRIVENT INVESTMENT MANAGEMENT INC. ADVISORFLEX MANAGED VARIABLE ANNUITY PROGRAM (6/30/2025)

THRIVENT INVESTMENT MANAGEMENT INC MANAGED ACCOUNTS PROGRAM (6/30/2025)

THRIVENT INVESTMENT MANAGEMENT INC. DEDICATED PLANNING SERVICES (6/30/2025)

Direct owners and executive officers

Name	Position	CRD#
THRIVENT FINANCIAL HOLDINGS, INC.	OWNER
BIRR, THOMAS JOHN	VICE PRESIDENT	4148092
BOUSU, CALEB ANTHONY	DIRECTOR	7877353
CECERE, NICHOLAS M	DIRECTOR	1513551
GILCHRIST, TONIA NICOLE JAMES	CHIEF LEGAL OFFICER & SECRETARY	4777233
GOLIS, ANDREA CORIN	CHIEF COMPLIANCE OFFICER	1401462
JOHNSON, ARIKA VIKTORIA	DIRECTOR	5580869
JOHNSTON, PAUL ROBERTS	DIRECTOR	2065882
KLOSTER, DAVID JACOB	PRESIDENT	2523240
NORGARD, ANDREW DYLAN	TREASURER	6868385

Regulatory assets under management

Total Number of Accounts	48,940
AUM (Assets Under Management)	$ 17,499,525,490

Disclosures

Regulatory Event

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/21/2024	Cover Page	Report
01/25/2024	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Rickie C. Farrell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

THRIVENT INVESTMENT MANAGEMENT INC.

WADDELL & REED

WADDELL & REED

UMB FINANCIAL SERVICES, INC.

UMB FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

THRIVENT INVESTMENT MANAGEMENT INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/2/2004

Series 63

Date: 9/23/1994

Series 7

Date: 8/12/1994

Series 52

Date: 3/13/1992

Series 27

Date: 6/8/1998

Series 4

Date: 9/12/1995

Series 24

Date: 1/20/1995

Series 53

Date: 6/5/1992

Current Firm

THRIVENT INVESTMENT MANAGEMENT INC.

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

THRIVENT INVESTMENT MANAGEMENT INC.

TRUST BUT VERIFY

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