Eileen F. Donnelly
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.
Eileen F Donnelly, who also goes by Eileen F D Batista, Eileen Fd Batista, Eileen Frances Donnelly, was a registered financial professional .
Eileen is a previously registered financial professional and started their career in finance in 1989. Eileen had worked at 11 firms and has passed the Series 63, SIE, Series 7, Series 6 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
July 30, 2021 - March 11, 2024
THRIVENT INVESTMENT MANAGEMENT INC.
February 2, 2021 - July 28, 2021
CENTAURUS FINANCIAL, INC.
September 28, 2018 - December 7, 2020
AMERIPRISE FINANCIAL SERVICES, LLC
March 16, 2018 - September 20, 2018
UBS FINANCIAL SERVICES INC.
May 15, 2009 - March 8, 2018
KESTRA INVESTMENT SERVICES, LLC
July 21, 2004 - December 31, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 5, 1996 - April 24, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 18, 1996 - September 3, 1996
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
May 15, 1996 - June 20, 1996
FINANCIAL WEST GROUP
March 22, 1996 - May 30, 1996
WM FUND SERVICES, INC.
May 28, 1993 - March 18, 1996
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
August 1, 1991 - May 11, 1993
IFMG SECURITIES, INC.
November 20, 1989 - August 1, 1991
PAMCO SECURITIES AND INSURANCE SERVICES
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.
