David J. Elliott
THRIVENT INVESTMENT MANAGEMENT | Complex Director
Aurora, CO
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CRD#: 1877452
Professional summary
David J Elliott, who also goes by David James Elliott, David Elliott, Dave Elliott, is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Aurora, Colorado.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. David has worked at 9 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
What are your service offerings?
Retirement Income Strategies
Tax Planning Strategies
Estate Planning Strategies
Are you a "fiduciary"?
Yes
Aliases
David James Elliott | David Elliott | Dave Elliott
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.
DAVE ELLIOTT AND QUYEN HUYNH POSITION: Dave Elliott and Quyen Huynh - Owners NATURE: This is a townhome acquired for the purpose of a rental property. The property needs some remodeling, and we do not expect to begin renting for several months. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 03/15/2025 ADDRESS: 925 Grape Ivy Way, Millcreek UT 84106, United States DESCRIPTION: We will be hands off utilizing a property manager.
CRS (Client Relationship Summary) - RIA
Click below to view David J Elliott's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David J Elliott'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
September 3, 2024 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #2: 9250 E Costilla Ave, Greenwood Village, CO 80112RIA
BD
CRD#: 18387
Aurora, CO
Current
September 3, 2024 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 9250 E Costilla Ave, Greenwood Village, CO 80112RIA
BD
CRD#: 18387
Greenwood Village, CO
Past
August 11, 2021 - October 5, 2023
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
DENVER, CO
Past
August 11, 2021 - October 5, 2023
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
DENVER, CO
Past
January 22, 2008 - April 30, 2021
WADDELL & REED
RIA
CRD#: 866
THOUSAND OAKS, CA
Past
December 19, 2007 - April 30, 2021
WADDELL & REED
BD
CRD#: 866
THOUSAND OAKS, CA
Past
May 17, 2007 - October 18, 2007
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
NIXA, MO
Past
August 2, 2005 - May 3, 2007
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
SPRINGFIELD, MO
Past
February 9, 2004 - August 5, 2004
NYLIFE SECURITIES LLC
BD
CRD#: 5167
NEW YORK, NY
Past
March 15, 2002 - January 26, 2004
LEGEND ADVISORY, LLC
RIA
CRD#: 104761
SPRINGFIELD, FL
Past
September 13, 2001 - January 16, 2004
LEGEND EQUITIES CORPORATION
BD
CRD#: 30999
PALM BEACH GARDENS, FL
Past
January 6, 1993 - September 6, 2001
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
January 6, 1993 - September 6, 2001
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Past
November 24, 1992 - December 16, 1992
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
Past
November 24, 1992 - December 16, 1992
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
Past
October 3, 1992 - December 23, 1992
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
WINDSOR, CT
Past
December 20, 1988 - October 8, 1990
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
December 20, 1988 - October 8, 1990
AMERIPRISE FINANCIAL SERVICES, LLC
BD
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".
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
Arizona(10/9/2024)
RR
California(10/9/2024)
RR
Colorado(9/26/2024)
IAR
Colorado(9/26/2024)
RR
Florida(10/9/2024)
RR
Georgia(10/9/2024)
RR
Idaho(10/9/2024)
RR
Illinois(10/9/2024)
RR
Indiana(10/9/2024)
RR
Iowa(10/9/2024)
RR
Kentucky(10/9/2024)
RR
Maine(10/9/2024)
RR
Massachusetts(10/9/2024)
RR
Michigan(10/9/2024)
RR
Minnesota(10/9/2024)
RR
Montana(10/9/2024)
RR
Nebraska(10/9/2024)
RR
Nevada(10/9/2024)
RR
New Jersey(10/9/2024)
RR
New York(10/9/2024)
RR
North Carolina(10/9/2024)
RR
North Dakota(10/9/2024)
RR
Ohio(10/10/2024)
RR
Oklahoma(10/9/2024)
IAR
Oklahoma(10/10/2024)
RR
Oregon(10/9/2024)
RR
Pennsylvania(10/9/2024)
RR
South Dakota(10/9/2024)
RR
Tennessee(10/9/2024)
RR
Texas(10/9/2024)
IAR
Texas(10/10/2024)
RR
Utah(9/3/2024)
RR
Vermont(10/9/2024)
RR
Virginia(10/9/2024)
RR
Washington(10/9/2024)
RR
Wisconsin(10/9/2024)
RR
Wyoming(10/9/2024)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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)
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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
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.
Complex DirectorCRD#: 18387Aurora, COTRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
