Juan Carlos Fierro
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.
Juan Carlos Fierro, who also goes by Juan Carlos Fierro, Juan Carlos Fierro, Juancarlos Fierro, was a registered financial professional .
Juan Carlos is a previously registered financial professional and started their career in finance in 1998. Juan Carlos had worked at 6 firms and has passed the Series 63, Series 65, Series 6TO, SIE, Series 6, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 21, 2023 - December 14, 2023
THRIVENT INVESTMENT MANAGEMENT INC.
March 27, 2017 - November 19, 2018
NYLIFE SECURITIES LLC
August 5, 2004 - December 5, 2006
FULCRUM ADVISORY SERVICES, LLC
April 1, 2004 - January 28, 2005
WESTMINSTER FINANCIAL SECURITIES, INC.
February 9, 2004 - February 17, 2004
WESTMINSTER FINANCIAL SECURITIES, INC.
November 15, 1999 - January 2, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 18, 1999 - January 2, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 22, 1998 - October 28, 1999
MORGAN STANLEY DW 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
Series 6TO
Date: 6/21/2023
Investment Company Products/Variable Contracts Representative ExaminationCurrent 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.
