John Commins
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.
John Commins, who also goes by Ron Commins, John Ronald Commins, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1983. John had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 29, 2017 - May 24, 2019
THRIVENT INVESTMENT MANAGEMENT INC.
July 7, 2014 - March 9, 2016
BMO HARRIS FINANCIAL ADVISORS, INC.
July 7, 2014 - March 9, 2016
BMO HARRIS FINANCIAL ADVISORS, INC.
February 10, 2014 - June 17, 2014
FINTEGRA, LLC
February 10, 2014 - June 17, 2014
FINTEGRA, LLC
August 25, 2005 - January 8, 2014
CUNA BROKERAGE SERVICES, INC.
July 1, 2002 - January 8, 2014
CUNA BROKERAGE SERVICES, INC.
August 1, 2000 - November 30, 2001
STARFN
August 30, 1999 - October 2, 2000
STOCKWALK.COM, INC.
October 21, 1997 - September 24, 1999
WELLS FARGO BROKERAGE SERVICES, L.L.C.
August 1, 1996 - September 22, 1997
IDS LIFE INSURANCE COMPANY
August 1, 1996 - September 22, 1997
AMERIPRISE FINANCIAL SERVICES, LLC
January 16, 1990 - August 1, 1995
CITICORP INVESTMENT SERVICES
June 30, 1983 - December 24, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
June 30, 1983 - January 16, 1990
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
THRIVENT INVESTMENT MANAGEMENT INC.
CRD#: 18387 / SEC#: 801-29618, 8-36525
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
THRIVENT INVESTMENT MANAGEMENT INC.
CRD#: 18387 / SEC#: 801-29618, 8-36525
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Documents
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 | 8 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/21/2024 | ||
| 01/25/2024 |
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.
