Eugene P. Sullivan

THRIVENT ASSET MANAGEMENT

Minneapolis, MN 55402-3265

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CRD#: 2206347

Professional summary

Eugene P Sullivan JR, who also goes by Eugene P Sullivan Jr, Eugene Patrick Sullivan Jr, Eugene Patrick Sullivan, Gene Sullivan, is a registered financial advisor currently at THRIVENT ASSET MANAGEMENT, LLC located in Minneapolis, Minnesota and THRIVENT DISTRIBUTORS, LLC located in Minneapolis, Minnesota.

Eugene is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Eugene has worked at 21 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Eugene P Sullivan Jr | Eugene Patrick Sullivan Jr | Eugene Patrick Sullivan | Gene Sullivan

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) - RIA

Click below to view Eugene P Sullivan JR'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®

None

Experience

Current

November 25, 2024 - Present

THRIVENT ASSET MANAGEMENT, LLC

Office #1: 901 Marquette Avenue Suite 2500, Minneapolis, MN 55402-3265

RIA

CRD#: 137751

Minneapolis, MN

Current

March 22, 2024 - Present

THRIVENT DISTRIBUTORS, LLC

Office #1: 901 Marquette Avenue Suite 2500, Minneapolis, MN 55402-3265

CRD#: 179512

Minneapolis, MN

Past

June 23, 2021 - April 14, 2023

PACIFIC OAK CAPITAL MARKETS, LLC

CRD#: 309350

COSTA MESA, CA

Past

April 11, 2018 - February 4, 2021

ARES WEALTH MANAGEMENT SOLUTIONS, LLC

CRD#: 119546

DENVER, CO

Past

April 6, 2015 - April 9, 2018

LASALLE INVESTMENT MANAGEMENT DISTRIBUTORS, LLC

CRD#: 157625

CHICAGO, IL

Past

May 30, 2012 - March 31, 2015

QUASAR DISTRIBUTORS, LLC

CRD#: 103848

PORTLAND, ME

Past

May 14, 2012 - April 20, 2015

NORTHCOAST ASSET MANAGEMENT LLC

RIA

CRD#: 109582

GREENWICH, CT

Past

January 13, 2006 - December 31, 2010

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

RIA

CRD#: 105790

BOSTON, MA

Past

January 13, 2006 - April 30, 2012

MANULIFE INVESTMENT MANAGEMENT (US) LLC

RIA

CRD#: 106435

BOSTON, MA

Past

January 13, 2006 - April 30, 2012

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

CRD#: 28262

BOSTON, MA

Past

April 28, 2005 - September 21, 2005

BOFA ADVISORS, LLC

RIA

CRD#: 107900

NEW YORK, NY

Past

September 1, 2004 - April 28, 2005

COLUMBIA MANAGEMENT ADVISORS, INC.

RIA

CRD#: 105842

BOSTON, MA

Past

June 21, 2004 - September 21, 2005

BOFA DISTRIBUTORS, INC.

CRD#: 30683

BOSTON, MA

Past

January 1, 2003 - June 21, 2004

BACAP DISTRIBUTORS, LLC

CRD#: 46088

CHARLOTTE, NC

Past

June 10, 2002 - January 1, 2003

STEPHENS

RIA

CRD#: 3496

CHARLOTTE , NC

Past

November 1, 2001 - January 1, 2003

STEPHENS

CRD#: 3496

LITTLE ROCK, AR

Past

December 5, 2000 - October 16, 2001

TRANSAMERICA CAPITAL, LLC

CRD#: 8217

DENVER, CO

Past

July 27, 1999 - December 21, 2000

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

PHILADELPHIA, PA

Past

December 21, 1995 - June 28, 1999

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

CRD#: 840

BOSTON, MA

Past

September 8, 1995 - November 6, 1995

ALLIANCEBERNSTEIN INVESTMENTS, INC.

CRD#: 14549

NASHVILLE, TN

Past

July 10, 1993 - May 22, 1995

VAN ECK SECURITIES CORPORATION

CRD#: 2269

NEW YORK, NY

Past

January 30, 1992 - February 8, 1993

MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.

CRD#: 7404

NEW YORK, NY

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 ASSET MANAGEMENT, LLC

THRIVENT ASSET MANAGEMENT LLC | THRIVENT ASSET MANAGEMENT, LLC

CRD#: 137751 / SEC#: 801-64988

RIA

Registered Investment Advisory firm - (12/15/2005 Approved)

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.

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

Delaware
(4/4/2024)

District of Columbia
(4/4/2024)

Maryland
(4/4/2024)

IAR

Minnesota
(11/25/2024)

New Jersey
(3/22/2024)

New York
(4/4/2024)

Pennsylvania
(4/4/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/21/2024

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 11/19/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/13/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/19/1992

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/28/1992

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/27/2005

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

THRIVENT ASSET MANAGEMENT, LLC

THRIVENT ASSET MANAGEMENT LLC | THRIVENT ASSET MANAGEMENT, LLC

CRD#: 137751 / SEC#: 801-64988

RIA

Registered Investment Advisory firm - (12/15/2005 Approved)

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Contact information

Main Address

901 Marquette Avenue Suite 2500, Minneapolis, MN 55402-3211

Mailing Address

Phone number

(800) 847-4836

Established

Firm type

Fiscal year end

# of Employees

450

SEC notice filing (2 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

THRIVENT ASSET MANAGEMENT LLC BROCHURE 03/31/2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	31
AUM (Assets Under Management)	$ 46,815,882,100

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

Eugene P. Sullivan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Eugene P Sullivan JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

THRIVENT DISTRIBUTORS, LLC

PACIFIC OAK CAPITAL MARKETS, LLC

ARES WEALTH MANAGEMENT SOLUTIONS, LLC

LASALLE INVESTMENT MANAGEMENT DISTRIBUTORS, LLC

QUASAR DISTRIBUTORS, LLC

NORTHCOAST ASSET MANAGEMENT LLC

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

MANULIFE INVESTMENT MANAGEMENT (US) LLC

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

BOFA ADVISORS, LLC

COLUMBIA MANAGEMENT ADVISORS, INC.

BOFA DISTRIBUTORS, INC.

BACAP DISTRIBUTORS, LLC

STEPHENS

STEPHENS

TRANSAMERICA CAPITAL, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

ALLIANCEBERNSTEIN INVESTMENTS, INC.

VAN ECK SECURITIES CORPORATION

MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.

Primary Firm SEC Registration

THRIVENT ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/21/2024

Series 65

Date: 11/19/1996

Series 63

Date: 2/13/1992

SIE

Date: 10/1/2018

Series 7

Date: 6/19/1992

Series 6

Date: 1/28/1992

Series 24

Date: 1/27/2005

FINRA

Current Firm

THRIVENT ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

THRIVENT ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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