JW
James D. Wright
THRIVENT INVESTMENT MANAGEMENT
Sterling, CO 80751
Some features on this profile are disabled
CRD#: 2160868
JW
Professional summary
James Dean Wright, who also goes by Jim Wright, is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Sterling, Colorado.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. James has worked at 1 firm and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jim Wright
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.
JOHNSON FARMS POSITION: tractor combine truck driver NATURE: FARMING Ranching INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 4 START DATE: 07/01/2023 ADDRESS: 11416 C R 63, Sterling CO 80751, United States DESCRIPTION: helping with harvest of crops NECHO NORTHEASTERN CIRCUIT HISPANIC OUTREACH POSITION: Chairman NATURE: Chairman of the NECO Hispanic Ministry Organization,Hold meetings and organize people and decisions regarding Hispanic minister and budget for that ministry along with several pastors in the area in which the ministry currently involves. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 03/26/2023 ADDRESS: 732 Clark St, Sterling CO 80751, United States DESCRIPTION: Call meetings, find committee members, hold meetings, hold votes for decisions made by the board, create and approve budget for ministry along with committee.
CRS (Client Relationship Summary) - RIA
Click below to view James Dean Wright's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Dean Wright'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
September 1, 2004 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 124 S Front St, Sterling, CO 80751RIA
BD
CRD#: 18387
Sterling, CO
Current
August 5, 1991 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 124 S Front St, Sterling, CO 80751RIA
BD
CRD#: 18387
Sterling, CO
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
Colorado(8/5/1991)
IAR
Colorado(9/1/2004)
RR
Louisiana(9/10/2019)
RR
Minnesota(7/14/2005)
RR
Nebraska(12/7/1999)
RR
Texas(6/20/2012)
IAR
Texas(7/10/2012)
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.
