George A. Gargano

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CRD#: 1580328

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.

George Anthony Gargano, who also goes by George Gargano, was a registered financial professional .

George is a previously registered financial professional and started their career in finance in 1988. George had worked at 12 firms and has passed the Series 63, SIE, Series 7 and Series 3 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

George Gargano

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

December 1, 2016 - May 21, 2019

THRIVENT INVESTMENT MANAGEMENT INC.

CRD#: 18387

MINNEAPOLIS, MN

Past

September 20, 2012 - August 22, 2016

P.J. ROBB VARIABLE, LLC

CRD#: 38339

MEMPHIS, TN

Past

January 25, 2010 - August 23, 2011

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

CRD#: 5496

WELLESLEY HILLS, MA

Past

December 18, 2007 - January 6, 2010

SLD AMERICA EQUITIES, INC.

CRD#: 36259

MINNEAPOLIS, MN

Past

December 18, 2007 - January 26, 2010

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

WINDSOR, CT

Past

July 1, 2004 - February 13, 2006

J.P. MORGAN SECURITIES INC.

CRD#: 18718

CHICAGO, IL

Past

December 10, 2002 - July 1, 2004

BANC ONE CAPITAL MARKETS, INC.

CRD#: 23065

CHICAGO, IL

Past

July 22, 1999 - August 2, 2002

INVESTORS BROKERAGE SERVICES, INC.

CRD#: 4257

ELGIN, IL

Past

October 6, 1995 - April 28, 1999

ALFS, INC.

CRD#: 32201

NORTHBROOK, IL

Past

August 23, 1994 - August 9, 1995

BANCAMERICA SECURITIES, INC.

CRD#: 17977

SAN FRANCISCO, CA

Past

January 18, 1990 - November 15, 1991

CONTINENTAL GLOBAL FINANCIAL CORPORATION

CRD#: 23959

Past

January 19, 1988 - January 2, 1989

FIRST OPTIONS OF CHICAGO, INC.

CRD#: 13822

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

Series 63

Date: 11/7/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/16/1988

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 10/13/1986

National Commodity Futures 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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Advisor Monitoring

Firm Stability Insights

George A. Gargano

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

P.J. ROBB VARIABLE, LLC

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

SLD AMERICA EQUITIES, INC.

VOYA FINANCIAL ADVISORS, INC.

J.P. MORGAN SECURITIES INC.

BANC ONE CAPITAL MARKETS, INC.

INVESTORS BROKERAGE SERVICES, INC.

ALFS, INC.

BANCAMERICA SECURITIES, INC.

CONTINENTAL GLOBAL FINANCIAL CORPORATION

FIRST OPTIONS OF CHICAGO, INC.

Primary Firm SEC Registration

THRIVENT INVESTMENT MANAGEMENT INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 11/7/2002

SIE

Date: 10/1/2018

Series 7

Date: 1/16/1988

Series 3

Date: 10/13/1986

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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