Frederick A. Nelson
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.
Frederick August Nelson, CFP®, who also goes by Fred Nelson, Frederick A Nelson, Frederick August Nelson, was a registered financial professional .
Frederick is a previously registered financial professional and started their career in finance in 1986. Frederick had worked at 17 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1986
Experience
August 9, 2019 - November 27, 2019
THRIVENT INVESTMENT MANAGEMENT INC.
August 9, 2019 - November 27, 2019
THRIVENT INVESTMENT MANAGEMENT INC.
February 2, 2016 - May 16, 2018
FORESTERS EQUITY SERVICES, INC.
February 2, 2016 - May 16, 2018
FORESTERS EQUITY SERVICES, INC.
March 7, 2014 - September 2, 2015
SIGNATOR INVESTORS, INC.
March 7, 2014 - January 27, 2016
SIGNATOR INVESTORS, INC.
February 10, 2012 - March 14, 2014
PRINCIPAL SECURITIES, INC.
February 10, 2012 - March 14, 2014
PRINCIPAL SECURITIES, INC.
February 7, 2011 - February 3, 2012
SIGNATOR INVESTORS, INC.
January 28, 2011 - February 3, 2012
SIGNATOR INVESTORS, INC.
August 6, 2010 - February 7, 2011
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
August 5, 2010 - February 7, 2011
CAMBRIDGE INVESTMENT RESEARCH, INC.
April 2, 2009 - August 18, 2010
MSI FINANCIAL SERVICES, INC.
February 17, 2009 - August 18, 2010
MSI FINANCIAL SERVICES, INC.
January 5, 2009 - February 24, 2009
PROTECTED INVESTORS OF AMERICA
January 28, 2008 - December 22, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 8, 2007 - December 22, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 23, 2006 - October 4, 2007
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
May 23, 2006 - October 4, 2007
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
July 9, 2004 - May 11, 2006
ALLSTATE FINANCIAL SERVICES, LLC
October 16, 2003 - June 22, 2004
WS GRIFFITH SECURITIES, INC.
October 1, 2003 - June 22, 2004
WS GRIFFITH SECURITIES, INC.
March 9, 2001 - October 15, 2002
HORNOR, TOWNSEND & KENT, LLC
October 30, 2000 - October 15, 2002
HORNOR, TOWNSEND & KENT, LLC
August 3, 2000 - November 2, 2000
SIGNATOR INVESTORS, INC.
January 2, 1990 - November 23, 1990
WALNUT STREET SECURITIES, INC.
March 10, 1989 - January 2, 1990
FIRST AFFIRMATIVE FINANCIAL NETWORK, INC.
February 6, 1987 - April 16, 1987
AMERIPRISE FINANCIAL SERVICES, LLC
November 21, 1986 - February 18, 1987
INTERFIRST CAPITAL CORPORATION
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.
