Wayne A. Foropoulos

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CRD#: 2043437

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.

Wayne Antonio Foropoulos was a registered financial professional .

Wayne is a previously registered financial professional and started their career in finance in 1990. Wayne had worked at 10 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

June 4, 2014 - October 30, 2014

THRIVENT INVESTMENT MANAGEMENT INC.

CRD#: 18387

JACKSON, TN

Past

December 4, 2008 - November 5, 2009

LEGEND EQUITIES CORPORATION

CRD#: 30999

JACKSON, TN

Past

February 14, 2008 - November 20, 2008

MWA FINANCIAL SERVICES INC.

CRD#: 112630

JACKSON, TN

Past

August 25, 2006 - December 7, 2007

VALIC FINANCIAL ADVISORS, INC.

CRD#: 42803

BRENTWOOD, TN

Past

October 27, 2003 - July 3, 2006

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

JACKSON, TN

Past

June 11, 2001 - August 13, 2002

EMPOWER FINANCIAL SERVICES, INC.

CRD#: 13109

GREENWOOD VILLAGE, CO

Past

November 17, 1998 - June 5, 2001

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

November 17, 1998 - June 5, 2001

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

Past

July 18, 1996 - November 20, 1998

METLIFE INVESTORS DISTRIBUTION COMPANY

CRD#: 6695

NEWPORT BEACH, CA

Past

April 15, 1992 - June 11, 1996

METLIFE INVESTORS DISTRIBUTION COMPANY

CRD#: 6695

NEWPORT BEACH, CA

Past

January 8, 1992 - May 5, 1992

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

OAKDALE, MN

Past

March 28, 1990 - February 21, 1991

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

March 28, 1990 - February 21, 1991

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

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".

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)

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.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 7/3/2014

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/30/2014

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 6/3/2014

Investment Company Products/Variable Contracts Representative Examination

Current Firm

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)

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

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

THRIVENT INVESTMENT MANAGEMENT INC. ADVISORFLEX MANAGED VARIABLE ANNUITY PROGRAM (6/30/2025)

THRIVENT INVESTMENT MANAGEMENT INC MANAGED ACCOUNTS PROGRAM (6/30/2025)

THRIVENT INVESTMENT MANAGEMENT INC. DEDICATED PLANNING SERVICES (6/30/2025)

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

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/21/2024	Cover Page	Report
01/25/2024	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Wayne A. Foropoulos

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LEGEND EQUITIES CORPORATION

MWA FINANCIAL SERVICES INC.

VALIC FINANCIAL ADVISORS, INC.

ALLSTATE FINANCIAL SERVICES, LLC

EMPOWER FINANCIAL SERVICES, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

METLIFE INVESTORS DISTRIBUTION COMPANY

METLIFE INVESTORS DISTRIBUTION COMPANY

WOODBURY FINANCIAL SERVICES, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

THRIVENT INVESTMENT MANAGEMENT INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/3/2014

SIE

Date: 10/30/2014

Series 6

Date: 6/3/2014

Current Firm

THRIVENT INVESTMENT MANAGEMENT INC.

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

THRIVENT INVESTMENT MANAGEMENT INC.

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