Christopher W. Johnston
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.
Christopher White Johnston, who also goes by Chris Johnston, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1986. Christopher had worked at 8 firms and has passed the Series 66, Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 2007 - July 24, 2012
THRIVENT INVESTMENT MANAGEMENT INC.
December 6, 2006 - July 24, 2012
THRIVENT INVESTMENT MANAGEMENT INC.
March 27, 1998 - April 5, 2000
AMERIPRISE FINANCIAL SERVICES, LLC
March 25, 1998 - April 5, 2000
IDS LIFE INSURANCE COMPANY
November 12, 1997 - March 17, 1998
CUNA BROKERAGE SERVICES, INC.
November 11, 1996 - January 17, 1997
MSI FINANCIAL SERVICES, INC.
November 8, 1996 - January 17, 1997
METROPOLITAN LIFE INSURANCE COMPANY
October 3, 1995 - October 24, 1995
PRUCO SECURITIES, LLC.
April 28, 1992 - October 17, 1995
METROPOLITAN LIFE INSURANCE COMPANY
April 28, 1992 - October 17, 1995
MSI FINANCIAL SERVICES, INC.
January 31, 1989 - March 19, 1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
January 31, 1989 - March 19, 1992
PRUCO SECURITIES, LLC.
April 24, 1986 - December 5, 1988
PRUCO SECURITIES, 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.
