DR
Dominic A. Russo
THRIVENT INVESTMENT MANAGEMENT
Poland, OH 44514
Some features on this profile are disabled
CRD#: 1256563
DR
Professional summary
Dominic Andrew Russo, who also goes by Dom A Russo, Dominic A Russo, is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Poland, Ohio.
Dominic is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Dominic has worked at 9 firms and has passed the Series 66, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dom A Russo | Dominic A Russo
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.
PRO FIT GOLF LLC POSITION: Author NATURE: I am writing a book on stretching and strengthening for golfers. INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 0 START DATE: 02/01/2021 ADDRESS: 830 Southwestern Run #83, Poland OH 44514, United States DESCRIPTION: I will be writing the Preface - Introduction & Dedication. Working with a writer who will also publish the book. PASTA GOLFER LLC POSITION: Family business - Service person NATURE: Bella Petrella's Restaurant and retail sales of family sauces and salsa. INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2020 ADDRESS: 328 Villa Corte Drive, Lutz FL 33549, United States DESCRIPTION: Work retail or sales on evenings or weekends
CRS (Client Relationship Summary) - RIA
Click below to view Dominic Andrew Russo's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Dominic Andrew Russo's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
November 5, 2018 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 46 S Main St, Poland, OH 44514Office #2: 202 Montrose West Ave, Copley, OH 44321RIA
BD
CRD#: 18387
Poland, OH
Current
November 3, 2018 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 46 S Main St, Poland, OH 44514Office #2: 202 Montrose West Ave, Copley, OH 44321RIA
BD
CRD#: 18387
Poland, OH
Past
October 4, 2018 - October 15, 2018
ALLSTATE FINANCIAL ADVISORS, LLC
RIA
CRD#: 109524
Boardman, OH
Past
October 4, 2018 - October 15, 2018
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
Boardman, OH
Past
April 20, 2016 - October 9, 2018
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
CRD#: 18387
POLAND, OH
Past
March 21, 2016 - October 9, 2018
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
POLAND, OH
Past
April 26, 2010 - May 16, 2011
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
CANFIELD, OH
Past
April 26, 2010 - May 16, 2011
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
CANFIELD, OH
Past
January 20, 2010 - April 27, 2010
FIRSTMERIT ADVISORS, INC.
RIA
CRD#: 125249
NEW CASTLE, PA
Past
January 14, 2010 - April 1, 2010
FIRSTMERIT FINANCIAL SERVICES, INC
BD
CRD#: 149680
NEW CASTLE, PA
Past
June 3, 2009 - January 22, 2010
INVEST FINANCIAL CORPORATION
RIA
CRD#: 12984
NEW CASTLE, PA
Past
June 2, 2009 - January 14, 2010
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
NEW CASTLE, PA
Past
October 4, 2007 - April 13, 2009
INVEST FINANCIAL CORPORATION
RIA
CRD#: 12984
NEW CASTLE, PA
Past
October 2, 2007 - April 13, 2009
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
NEW CASTLE, PA
Past
August 8, 2006 - October 9, 2007
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
AKRON, OH
Past
August 8, 2006 - October 9, 2007
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
AKRON, OH
Past
May 1, 1984 - December 19, 1986
MONEY CONCEPTS CAPITAL CORP
BD
CRD#: 12963
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".
TI
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)BD
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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Ohio(11/5/2018)
IAR
Ohio(11/5/2018)
RR
Pennsylvania(5/8/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TI
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)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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
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.
Company Information
THRIVENT INVESTMENT MANAGEMENT INC.
CRD#: 18387Poland, OH 44514TRUST BUT VERIFY
Monitor Dominic Russo
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
