John R. Hennes
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 Robert Hennes was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1983. John had worked at 9 firms and has passed the Series 66, Series 63, Series 7 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
June 13, 2012 - October 24, 2013
THRIVENT INVESTMENT MANAGEMENT INC.
June 13, 2012 - October 24, 2013
THRIVENT INVESTMENT MANAGEMENT INC.
January 3, 2012 - June 11, 2012
CALTON & ASSOCIATES, INC.
January 3, 2012 - June 11, 2012
CALTON & ASSOCIATES, INC.
January 18, 2006 - December 31, 2011
CHOICE ADVISORY GROUP, INC.
January 2, 1996 - April 20, 2012
CHOICE INVESTMENTS, INC.
July 7, 1995 - January 16, 1996
FROST BROKERAGE SERVICES, INC.
January 27, 1993 - July 7, 1995
CHOICE INVESTMENTS, INC.
June 12, 1987 - September 21, 1992
PRINCIPAL FINANCIAL SECURITIES,INC.
August 19, 1985 - June 24, 1987
ROTAN MOSLE INC.
August 4, 1983 - August 22, 1985
THOMSON MCKINNON SECURITIES INC.
July 21, 1983 - February 12, 1985
SCHNEIDER, BERNET & HICKMAN, INC.
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.
