David F. Carlson

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CRD#: 1855756

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.

David Frederick Carlson, who also goes by Dave Carlson, was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 1988. David had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Dave Carlson

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

November 30, 2015 - May 10, 2019

THRIVENT INVESTMENT MANAGEMENT INC.

RIA

CRD#: 18387

MINNEAPOLIS, MN

Past

July 15, 2008 - October 13, 2015

THRIVENT INVESTMENT MANAGEMENT INC.

RIA

CRD#: 18387

MINNEAPOLIS, MN

Past

July 15, 2008 - May 10, 2019

THRIVENT INVESTMENT MANAGEMENT INC.

CRD#: 18387

MINNEAPOLIS, MN

Past

April 6, 2005 - April 10, 2008

SII INVESTMENTS, INC.

RIA

CRD#: 2225

OKOBOJI, IA

Past

October 1, 2004 - April 10, 2008

SII INVESTMENTS, INC.

CRD#: 2225

OKOBOJI, IA

Past

February 24, 2004 - October 5, 2004

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

February 7, 2001 - February 17, 2004

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

ST. CLOUD, MN

Past

September 21, 1995 - February 7, 2001

INVEST FINANCIAL CORPORATION

CRD#: 12984

APPLETON, WI

Past

August 25, 1988 - September 19, 1995

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

August 25, 1988 - September 19, 1995

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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

IAR

Series 65

Date: 3/30/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/25/1988

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: 8/20/1988

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 9/3/2008

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 9/13/2000

General Securities Principal 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

David F. Carlson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

THRIVENT INVESTMENT MANAGEMENT INC.

THRIVENT INVESTMENT MANAGEMENT INC.

SII INVESTMENTS, INC.

SII INVESTMENTS, INC.

LPL FINANCIAL LLC

CETERA INVESTMENT SERVICES LLC

INVEST FINANCIAL CORPORATION

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

THRIVENT INVESTMENT MANAGEMENT INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/30/2005

Series 63

Date: 8/25/1988

SIE

Date: 10/1/2018

Series 7

Date: 8/20/1988

Series 53

Date: 9/3/2008

Series 24

Date: 9/13/2000

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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