KQ
Kharis J. Quaintance
THRIVENT INVESTMENT MANAGEMENT
Jacksonville, FL 32256
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CRD#: 2162054
KQ
Professional summary
Kharis J Quaintance, who also goes by Kharis J Quaintance, Kharis Quaintance, is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Jacksonville, Florida.
Kharis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Kharis has worked at 8 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kharis J Quaintance | Kharis Quaintance
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.
JACKSONVILLE URBAN LEAGUE POSITION: Board Member NATURE: Enable African Americans as well as other underserved communities to secure economic self reliance, parity power and civil rights INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2024 ADDRESS: 903 Union St W, Jacksonville FL 32204, United States DESCRIPTION: Help manage organizations public image and reputation, Onboard new membersMaintain integrity KHAJEM LLC POSITION: mmbr NATURE: Real Estate Rentals ; Owner, start date 2/2004; 4 hours/month 0 trading hours/month ; residential real estate rental properties. INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 2 START DATE: 04/04/2004 ADDRESS: 333 East 2nd St, Jacksonville FL 32206, United States DESCRIPTION: Real estate building maintenance, KHARIS QUAINTANCE POSITION: Broker NATURE: I receive residualsfrom health dental and vision from United Medical Group INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 05/01/2020 ADDRESS: 333 East 2nd St, Jacksonville FL 32206, United States DESCRIPTION: No duties UNIVERSITY OF FLORIDA BLACK ALUMNI POSITION: Treasurer NATURE: The Association of Black Alumni(ABA) is an affiliate group of the University of Florida. It exist to connect Black UF Alumni with opportunities to engage, network, and support one another as well as current prospective Black UF students INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2024 ADDRESS: 1938 W University Ave, gainesville FL 32603, United States DESCRIPTION: Help balance/audit account for org 1 monthly meeting appx 1 hour. I do not have any signature responsibilities.
CRS (Client Relationship Summary) - RIA
Click below to view Kharis J Quaintance's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kharis J Quaintance'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 25, 2023 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 4887 Belfort Rd, Jacksonville, FL 32256RIA
BD
CRD#: 18387
Jacksonville, FL
Current
July 6, 2023 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 4887 Belfort Rd, Jacksonville, FL 32256RIA
BD
CRD#: 18387
Jacksonville, FL
Past
November 10, 2021 - June 20, 2023
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
Jacksonville, FL
Past
September 13, 2021 - June 20, 2023
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Jacksonville, FL
Past
February 5, 2021 - September 8, 2021
NYLIFE SECURITIES LLC
BD
CRD#: 5167
JACKSONVILLE, FL
Past
February 26, 2008 - March 25, 2011
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
JACKSONVILLE, FL
Past
May 2, 2007 - December 31, 2007
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
JACKSONVILLE, FL
Past
December 18, 2003 - August 25, 2006
AMSOUTH INVESTMENT SERVICES, INC.
BD
CRD#: 15692
JACKSONVILLE, FL
Past
May 15, 2003 - December 1, 2003
BBVA COMPASS INVESTMENT SOLUTIONS, INC
BD
CRD#: 17086
BIRMINGHAM, AL
Past
October 1, 2000 - January 15, 2003
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
JACKSONVILLE, FL
Past
October 1, 2000 - January 15, 2003
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
May 4, 2000 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
BD
CRD#: 8112
CHARLOTTE, NC
Past
March 25, 1993 - September 27, 1999
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
Alabama(10/6/2023)
RR
California(10/6/2023)
RR
Colorado(11/16/2023)
RR
Connecticut(12/15/2023)
RR
District of Columbia(11/17/2023)
IAR
District of Columbia(11/30/2023)
RR
Florida(7/6/2023)
IAR
Florida(7/25/2023)
RR
Georgia(10/10/2023)
RR
Idaho(11/16/2023)
RR
Illinois(12/5/2023)
RR
Indiana(11/17/2023)
RR
Iowa(11/17/2023)
RR
Kansas(11/15/2023)
RR
Louisiana(8/22/2025)
RR
Maine(4/4/2025)
RR
Maryland(10/6/2023)
RR
Massachusetts(11/15/2023)
RR
Michigan(10/9/2023)
RR
Minnesota(11/15/2023)
RR
Mississippi(11/17/2023)
RR
Missouri(11/16/2023)
RR
Montana(1/4/2024)
RR
New Jersey(11/15/2023)
RR
New York(10/11/2023)
RR
North Carolina(10/6/2023)
RR
North Dakota(3/19/2024)
RR
Ohio(10/11/2023)
RR
Oklahoma(11/16/2023)
IAR
Oklahoma(11/16/2023)
RR
Oregon(1/9/2024)
RR
Pennsylvania(11/16/2023)
RR
South Carolina(10/11/2023)
RR
South Dakota(11/15/2023)
RR
Tennessee(4/1/2024)
RR
Texas(11/16/2023)
IAR
Texas(11/16/2023)
RR
Utah(1/12/2024)
RR
Virginia(11/16/2023)
RR
Washington(11/15/2023)
RR
West Virginia(4/7/2025)
RR
Wisconsin(11/20/2023)
RR
Wyoming(11/17/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 7/21/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 2/5/2021
Investment Company Products/Variable Contracts Representative ExaminationGeneral 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.
Company Information
THRIVENT INVESTMENT MANAGEMENT INC.
CRD#: 18387Jacksonville, FL 32256TRUST BUT VERIFY
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