Craig H. Miller
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.
Craig Hayward Miller was a registered financial professional .
Craig is a previously registered financial professional and started their career in finance in 1992. Craig had worked at 10 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 13, 2015 - January 17, 2018
THRIVENT INVESTMENT MANAGEMENT INC.
April 30, 2012 - March 6, 2015
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
January 27, 2010 - March 27, 2012
HIMCO DISTRIBUTION SERVICES COMPANY
December 11, 2004 - October 29, 2009
METLIFE INVESTORS DISTRIBUTION COMPANY
June 30, 2003 - December 11, 2004
METLIFE INVESTORS DISTRIBUTION COMPANY
July 20, 2001 - December 17, 2004
NEW ENGLAND SECURITIES
May 9, 2000 - August 6, 2001
AMERICAN GENERAL EQUITY SERVICES CORPORATION
December 3, 1998 - May 8, 2000
THE O.N. EQUITY SALES COMPANY
August 10, 1998 - December 4, 1998
ONEAMERICA SECURITIES, INC.
August 10, 1998 - December 4, 1998
AMERICAN UNITED LIFE INSURANCE COMPANY
June 10, 1992 - July 17, 1998
THRIVENT INVESTMENT MANAGEMENT INC.
Primary Firm SEC Registration
THRIVENT INVESTMENT MANAGEMENT INC.
CRD#: 18387 / SEC#: 801-29618, 8-36525
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
THRIVENT INVESTMENT MANAGEMENT INC.
CRD#: 18387 / SEC#: 801-29618, 8-36525
Contact information
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.
