Danny M. Powell
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.
Danny Mack Powell JR, who also goes by Danny Mack Powell Jr, Danny Powell Jr, Danny Powell, Danny Mack Powell Jr, was a registered financial professional .
Danny is a previously registered financial professional and started their career in finance in 1993. Danny had worked at 12 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 27, 2024 - April 1, 2025
THRIVENT INVESTMENT MANAGEMENT INC.
November 18, 2024 - April 1, 2025
THRIVENT INVESTMENT MANAGEMENT INC.
July 8, 2020 - October 15, 2024
ASSET MANAGEMENT STRATEGIES, INC.
June 28, 2006 - December 31, 2011
VSR FINANCIAL SERVICES, INC.
June 28, 2006 - December 31, 2012
VSR FINANCIAL SERVICES, INC.
August 13, 2003 - July 3, 2006
RAYMOND JAMES FINANCIAL SERVICES, INC.
August 7, 2003 - July 3, 2006
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 20, 2000 - August 4, 2003
NATCITY INVESTMENTS, INC.
March 20, 2000 - December 31, 2001
NATCITY INSURANCE SERVICES, INC.
March 20, 2000 - August 4, 2003
NATCITY INVESTMENTS, INC.
August 27, 1999 - March 20, 2000
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 26, 1997 - September 3, 1999
FISERV INVESTOR SERVICES, INC.
January 24, 1996 - January 22, 1997
CHARLES SCHWAB & CO., INC.
June 20, 1995 - February 13, 1996
INDEPENDENT FINANCIAL SECURITIES, INC.
June 8, 1995 - January 11, 1996
NATIONAL CITY INVESTMENTS CORPORATION
April 24, 1995 - May 18, 1995
KEY INVESTMENTS INC.
May 10, 1994 - May 19, 1995
INDEPENDENT FINANCIAL SECURITIES, INC.
August 26, 1993 - December 20, 1993
NATCITY INVESTMENTS, INC.
August 24, 1993 - May 12, 1995
NATIONAL CITY INVESTMENTS CORPORATION
February 22, 1993 - August 30, 1993
EDWARD JONES
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 7TO
Date: 11/18/2024
General Securities 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.
