CP
Christopher A. Pugh
THRIVENT INVESTMENT MANAGEMENT
Pinckney, MI
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CRD#: 2298740
CP
Professional summary
Christopher Allan Pugh, who also goes by Chris Pugh, Christopher A Pugh, is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Pinckney, Michigan.
Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Christopher has worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 62 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Chris Pugh | Christopher A Pugh
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.
WINANS WOODS HOMEOWNERS ASSOCIATION POSITION: President NATURE: WWHOA is the association of my primary residence. The HOA is responsible for collecting dues from the co-owners and the maintenance of the common areas of the HOA. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 02/20/2025 ADDRESS: 8396 Alta Vista Dr, Pinckney MI 48169, United States DESCRIPTION: Oversee the management of the HOA. The HOA has hired a management company beginning and the role of president of the HOA will be greatly diminished.
CRS (Client Relationship Summary) - RIA
Click below to view Christopher Allan Pugh's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Christopher Allan Pugh'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
November 4, 2010 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #2: 6900 E Joy Rd, Ann Arbor, MI 48105RIA
BD
CRD#: 18387
Pinckney, MI
Current
September 23, 2010 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 6900 E Joy Rd, Ann Arbor, MI 48105RIA
BD
CRD#: 18387
Ann Arbor, MI
Past
February 14, 2006 - November 19, 2007
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
ANN ARBOR, MI
Past
November 23, 2004 - January 10, 2006
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
MINNEAPOLIS, MN
Past
August 21, 2001 - October 14, 2002
TAFFERER TRADING, LLC
BD
CRD#: 36816
NEW YORK, NY
Past
May 16, 1996 - March 17, 1998
TAFFERER TRADING, LLC
BD
CRD#: 36816
NEW YORK, NY
Past
November 16, 1992 - January 19, 1993
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
EDISON, 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
Arizona(2/18/2021)
RR
Colorado(2/18/2021)
RR
Florida(2/18/2021)
RR
Georgia(2/18/2021)
RR
Illinois(2/18/2021)
RR
Michigan(11/4/2010)
IAR
Michigan(11/4/2010)
RR
North Carolina(2/18/2021)
RR
Ohio(2/18/2021)
RR
South Carolina(2/18/2021)
RR
Wisconsin(2/18/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 5/15/1996
Corporate Securities Limited Representative ExaminationGeneral 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.
