Dee Morgan
Professional summary
Dee Morgan, who also goes by Dee Wayne Morgan Mr., Dee Wayne Morgan, is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Minneapolis, Minnesota.
Dee is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Dee has worked at 11 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, SIE, Series 7, Series 6, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Dee Morgan's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Dee Morgan's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 30, 2026 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 600 Portland Ave S, Minneapolis, MN 55415March 14, 2026 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 600 Portland Ave S, Minneapolis, MN 55415May 15, 2012 - December 2, 2013
OSAIC SERVICES, INC.
September 8, 2008 - April 4, 2012
WFG ADVISORS, LP
September 8, 2008 - April 4, 2012
WFG INVESTMENTS, INC.
October 25, 2007 - September 12, 2008
OSAIC FS, INC.
May 8, 2007 - September 10, 2008
OSAIC FA, INC.
May 8, 2007 - September 10, 2008
OSAIC FA, INC.
April 25, 2006 - June 22, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 18, 2006 - June 22, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 24, 2006 - March 8, 2006
LBMZ SECURITIES, INC.
August 16, 1993 - January 19, 2005
FIDELITY BROKERAGE SERVICES LLC
July 2, 1993 - July 27, 1993
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
July 2, 1993 - July 27, 1993
EQUITABLE ADVISORS, LLC
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
(3/30/2026)
(3/30/2026)
Exams
Series 7TO
Date: 3/14/2026
General Securities Representative ExaminationFINRA
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 |
|---|---|---|
| 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#: 18387Minneapolis, MN 55415TRUST BUT VERIFY
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