James C. Berg
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.
James Calvin Berg was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1996. James had worked at 10 firms and has passed the Series 65, Series 63, SIE, 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
November 20, 2012 - February 9, 2015
THRIVENT INVESTMENT MANAGEMENT INC.
October 5, 2006 - December 31, 2007
THRIVENT INVESTMENT MANAGEMENT INC.
November 1, 2004 - February 9, 2015
THRIVENT INVESTMENT MANAGEMENT INC.
May 22, 2003 - October 19, 2004
WELLS FARGO INVESTMENTS, LLC
March 16, 2001 - August 12, 2002
WELLS FARGO BROKERAGE SERVICES, L.L.C.
March 15, 2001 - October 19, 2004
WELLS FARGO INVESTMENTS, LLC
July 23, 1999 - January 2, 2001
IDS LIFE INSURANCE COMPANY
July 23, 1999 - January 2, 2001
AMERIPRISE FINANCIAL SERVICES, LLC
August 12, 1998 - August 28, 1999
WOODBURY FINANCIAL SERVICES, INC.
June 6, 1997 - July 2, 1998
WORKMAN SECURITIES CORPORATION
March 19, 1997 - May 28, 1997
OAKWOOD CAPITAL SECURITIES, INC.
November 5, 1996 - February 7, 1997
FBL MARKETING SERVICES, LLC
March 29, 1996 - November 5, 1996
EQUITY SERVICES, INC.
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.
