Carolyn Armitage
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.
Carolyn Armitage, CFP®, CIMA®, who also goes by Carolyn Ann Armitage, Carolyn Ann Bittner, Carolyn Ann Jergens, was a registered financial professional .
Carolyn is a previously registered financial professional and started their career in finance in 1989. Carolyn had worked at 11 firms and has passed the Series 66, Series 65, Series 63, Series 99TO, Series 52TO, SIE, Series 79, Series 3, Series 7, Series 6, Series 27, Series 53, Series 4, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 10, 2022 - July 19, 2023
THRIVENT INVESTMENT MANAGEMENT INC.
October 10, 2022 - July 19, 2023
THRIVENT INVESTMENT MANAGEMENT INC.
July 15, 2021 - September 21, 2021
THRIVENT ADVISOR NETWORK, LLC
May 10, 2017 - July 16, 2021
ECHELON CAPITAL
July 26, 2013 - August 24, 2016
LPL FINANCIAL LLC
July 26, 2013 - August 24, 2016
LPL FINANCIAL LLC
August 2, 2011 - June 6, 2013
WESTERN INTERNATIONAL SECURITIES, INC.
August 1, 2011 - June 6, 2013
WESTERN INTERNATIONAL SECURITIES, INC.
April 8, 2009 - August 8, 2011
CETERA INVESTMENT SERVICES LLC
March 9, 2007 - August 8, 2011
CETERA WEALTH SERVICES, LLC
August 2, 2004 - August 2, 2010
VOYA FINANCIAL ADVISORS, INC.
August 2, 2004 - August 8, 2011
CETERA ADVISORS LLC
February 26, 1998 - August 8, 2011
CETERA WEALTH SERVICES, LLC
May 20, 1991 - March 4, 1998
AVANTAX INVESTMENT SERVICES, INC.
January 27, 1989 - March 21, 1991
FORESTERS FINANCIAL 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
Series 99TO
Date: 3/14/2024
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent 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.
