TV
Thomas J. Ventura
THRIVENT INVESTMENT MANAGEMENT
Daytona Beach, FL 32119
Some features on this profile are disabled
CRD#: 2340720
TV
Professional summary
Thomas Joseph Ventura is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Daytona Beach, Florida.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Thomas has worked at 15 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 31, Series 7, Series 24 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Joseph Ventura's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Thomas Joseph Ventura'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
May 26, 2022 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 1301 Beville Road, Daytona Beach, FL 32119Office #3: 4075 A1a South, Saint Augustine, FL 32080RIA
BD
CRD#: 18387
Daytona Beach, FL
Current
January 13, 2022 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 1301 Beville Road, Daytona Beach, FL 32119Office #2: 4075 A1a South, Saint Augustine, FL 32080RIA
BD
CRD#: 18387
Daytona Beach, FL
Past
April 1, 2020 - November 20, 2020
VERITY INVESTMENTS, INC.
BD
CRD#: 41527
DURHAM, NC
Past
June 18, 2015 - November 15, 2016
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
DAYTONA BEACH, FL
Past
May 20, 2015 - November 15, 2016
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
DAYTONA BEACH, FL
Past
August 2, 2013 - May 21, 2015
CABOT LODGE SECURITIES LLC
BD
CRD#: 159712
Daytona Beach, FL
Past
February 14, 2013 - May 21, 2015
CL WEALTH MANAGEMENT LLC
RIA
CRD#: 134922
SCHAUMBURG, IL
Past
October 31, 2012 - August 29, 2013
ALLIED BEACON PARTNERS, INC.
BD
CRD#: 46227
OCALA, FL
Past
June 9, 2009 - October 5, 2012
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
PALM COAST, FL
Past
February 6, 2009 - October 5, 2012
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
PALM COAST, FL
Past
June 17, 2008 - March 24, 2009
BRIGHT TRADING, LLC
BD
CRD#: 34702
HENDERSON, NV
Past
May 12, 2005 - June 5, 2006
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
DAYTONA BEACH SHORES, FL
Past
May 9, 2005 - June 5, 2006
TRUIST INVESTMENT SERVICES, INC.
RIA
CRD#: 17499
DAYTONA BEACH SHORES, FL
Past
March 3, 2003 - March 31, 2004
FIS BROKERAGE & SECURITIES SERVICES LLC
BD
CRD#: 104162
BOLINGBROOK, IL
Past
January 29, 2003 - March 3, 2003
RUMSON CAPITAL, LLC
BD
CRD#: 33848
MONTEBELLO, NY
Past
July 10, 2002 - January 22, 2003
FIRST MONTAUK SECURITIES CORP.
BD
CRD#: 13755
RED BANK, NJ
Past
November 16, 2001 - June 19, 2002
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
ST. LOUIS, MO
Past
January 14, 2000 - November 21, 2001
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
April 23, 1996 - January 28, 2000
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
November 14, 1995 - June 18, 1996
INVESTORS ASSOCIATES, INC.
BD
CRD#: 958
HACKENSACK, 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
California(11/28/2022)
RR
Connecticut(3/26/2026)
RR
Florida(5/26/2022)
IAR
Florida(5/26/2022)
RR
Georgia(9/11/2023)
RR
Minnesota(9/25/2025)
RR
New Jersey(4/17/2026)
RR
New York(9/12/2022)
RR
North Carolina(10/11/2022)
RR
Pennsylvania(7/11/2023)
RR
South Carolina(9/29/2025)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 12/7/1998
General Securities Sales Supervisor Examination (Options Module & General Module)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)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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 |
|---|---|---|
| 01/22/2026 | ||
| 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.
Company Information
THRIVENT INVESTMENT MANAGEMENT INC.
CRD#: 18387Daytona Beach, FL 32119TRUST BUT VERIFY
Monitor Thomas Ventura
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
