AC
Alan I. Caulkins
THRIVENT INVESTMENT MANAGEMENT
Allison Park, PA 15101
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CRD#: 1955686
AC
Professional summary
Alan Ives Caulkins, CFP®, who also goes by Alan I Caulkins, is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Allison Park, Pennsylvania.
Alan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Alan has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Alan I Caulkins
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.
"MILE POST 6" POSITION: Member NATURE: "Mile Post 6" is a Rock and Roll Band that I am a member of. It is made up of 5 members who are my friends and neighbors. We have been playing together for more than 3 years but have never accepted compensation forany of ourlive performances. I do have a resonable expectation that going forwardwe may be offered some compensation.It is not an "official organization" at this point and there is no tax IDnumber. INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 12/13/2016 ADDRESS: 217 Beech St, Pittsburgh PA 15218, United States DESCRIPTION: I play guitar and provide vocals, although probably 90% of the time we are rehearsing and not performing in public. TODD & CAULKINS LIMITED POSITION: Co-Owner NATURE: Personal Thrivent office space - we also rent to other Thrivent Financial Reps INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 08/27/2012 ADDRESS: 1736 Ferguson Rd, Allison Park PA 15101, United States DESCRIPTION: Office building used to conduct regular Thrivent business. Landlord
CRS (Client Relationship Summary) - RIA
Click below to view Alan Ives Caulkins's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Alan Ives Caulkins'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®
CFP®
Start date: 2010
Experience
Current
August 2, 2006 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 1736 Ferguson Rd, Allison Park, PA 15101RIA
BD
CRD#: 18387
Allison Park, PA
Current
May 28, 2004 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 1736 Ferguson Rd, Allison Park, PA 15101RIA
BD
CRD#: 18387
Allison Park, PA
Past
October 4, 2001 - June 25, 2002
QUASAR DISTRIBUTORS, LLC
BD
CRD#: 103848
PORTLAND, ME
Past
January 26, 1999 - October 4, 2001
FIRST FUND DISTRIBUTORS, INC.
BD
CRD#: 27038
PHOENIX, AZ
Past
April 23, 1998 - May 22, 1998
NYLIFE DISTRIBUTORS LLC
BD
CRD#: 35350
JERSEY CITY, NJ
Past
June 30, 1993 - November 11, 1994
VAN ECK SECURITIES CORPORATION
BD
CRD#: 2269
NEW YORK, NY
Past
November 21, 1991 - February 10, 1993
LEXINGTON FUNDS DISTRIBUTOR, INC.
BD
CRD#: 8194
SCOTTSDALE, AZ
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
Florida(6/25/2018)
RR
Maryland(6/19/2017)
RR
Massachusetts(7/21/2021)
RR
New York(8/30/2016)
RR
Ohio(9/14/2006)
RR
Pennsylvania(5/28/2004)
IAR
Pennsylvania(8/2/2006)
RR
South Carolina(11/25/2024)
RR
Tennessee(1/16/2024)
RR
Texas(9/26/2025)
IAR
Texas(9/26/2025)
RR
Virginia(11/15/2019)
RR
West Virginia(2/26/2013)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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.
