CG
Charlotte J. Ghazarian
THRIVENT INVESTMENT MANAGEMENT
Glendale, WI 53217
Some features on this profile are disabled
CRD#: 2003807
CG
Professional summary
Charlotte James Ghazarian, who also goes by Charlotte Ghazarian, is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Glendale, Wisconsin.
Charlotte is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Charlotte has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Charlotte Ghazarian
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.
A-LEGO POSITION: Economic development committee member NATURE: Empower central city communities by focusing on education, economic development, family relationships, reducing teen pregnancy and health care services. INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 08/01/2015 ADDRESS: Holy Redeemer COGIC, 3500 W Mother Daniels Way, Milwaukee WI 53209 DESCRIPTION: I and the other committee members are responsible for finding ways to help the disadvantaged in Milwaukee's central city obtain gainful employment, find decent housing and become financially stable productive citizens. We believe these accomphishments will help reduce some of the crime especiallyif wereach the children before it's too late. A-LEGO POSITION: Board Member NATURE: Empower central city communities by focusing on education, economic development, family relationships, reducing teen pregnancy, human trafficking and health care services. INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 06/22/2016 ADDRESS: Holy Redeemer COGIC, 3500 W Mother Daniels Way, Milwaukee WI 53209 DESCRIPTION: Board members include community advocates, politicians, business owners, and professionals. We are responsible for finding ways to help the disadvantaged in Milwaukee's central city obtain gainful employment, find decent housing, and become financially stable and productive citizens. We believe these accomplishments will help reduce some of the crime especially if we reach the children before it's too late. A.L.I.V.E. POSITION: Coach NATURE: Administering Life in Vocational Experience(A.L.I.V.E.) is an organization that focuses on youth in the Milwaukee area. The organization prepares youth for college including leading college tours and application follow up. Over 90% of participants have been admitted to colleges. The colleges include Morehouse, Spelman, Clark, Howard and Southern Philander Smith. INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 3 START DATE: 07/02/2018 ADDRESS: 1527 N Astor Ave, Milwaukee WI 53202, United States DESCRIPTION: I will provide professional insight/strategies,be a role model and help the youth be better prepared for college. THE INSTITUTE FOR THE PRESERVATION OF AFRICAN-AMERICAN MUSIC AND ARTS POSITION: Board Member NATURE: IPAMA is chartered through the City of Milwaukee to provide elementary and secondary educational programs. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 03/31/2021 ADDRESS: 3500 W Mother Daniels Way, Milwaukee WI 53209, United States DESCRIPTION: I will help ensure that students develop to their academic, artistic and personal potential by integrating the arts and STEM.
CRS (Client Relationship Summary) - RIA
Click below to view Charlotte James Ghazarian's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Charlotte James Ghazarian'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
July 1, 2002 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 5205 N Ironwood Rd Ste 123, Glendale, WI 53217RIA
BD
CRD#: 18387
Glendale, WI
Current
July 1, 2002 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 5205 N Ironwood Rd Ste 123, Glendale, WI 53217RIA
BD
CRD#: 18387
Glendale, WI
Past
January 2, 1990 - July 1, 2002
LUTHERAN BROTHERHOOD SECURITIES CORP.
BD
CRD#: 4205
MINNEAPOLIS, MN
Past
November 10, 1989 - January 25, 1990
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
BD
CRD#: 680
NEWARK, NJ
Past
November 10, 1989 - January 25, 1990
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
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(5/25/2010)
RR
Florida(3/3/2017)
RR
Georgia(12/14/2007)
RR
Illinois(7/1/2002)
RR
Indiana(2/15/2011)
RR
Michigan(7/18/2023)
RR
Texas(7/1/2002)
IAR
Texas(7/11/2006)
RR
Wisconsin(7/1/2002)
IAR
Wisconsin(7/1/2002)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
CRD#: 18387Glendale, WI 53217TRUST BUT VERIFY
Monitor Charlotte Ghazarian
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
