AN
Alan D. Nickerson
THRIVENT INVESTMENT MANAGEMENT
Cottonwood, AZ 86326
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CRD#: 2371832
AN
Professional summary
Alan Dean Nickerson, who also goes by Al Nickerson, is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Cottonwood, Arizona.
Alan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Alan has worked at 8 firms and has passed the Series 65, Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Al Nickerson
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.
RENTAL PROPERTY POSITION: Property owner NATURE: Recently purchased a home to rent out in Tucson. Closed in April and have since been having the property updated, plan to (hopefully) have renovations completed by the end June and will rent it out starting in July, provided the OBA is approved by then. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2025 ADDRESS: 1701 S Palm Springs Cir, Tucson AZ 85710, United States DESCRIPTION: Renting property out on an annual basis. As owner, responsible for maintenance and upkeep of property.
CRS (Client Relationship Summary) - RIA
Click below to view Alan Dean Nickerson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Alan Dean Nickerson'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
March 3, 2011 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 1756 E Villa Drive, Cottonwood, AZ 86326RIA
BD
CRD#: 18387
Cottonwood, AZ
Current
November 2, 2010 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 1756 E Villa Drive, Cottonwood, AZ 86326RIA
BD
CRD#: 18387
Cottonwood, AZ
Past
June 21, 2010 - November 1, 2010
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
FLAGSTAFF, AZ
Past
April 21, 2008 - June 17, 2010
MWA FINANCIAL SERVICES INC.
BD
CRD#: 112630
SCOTTSDALE, AZ
Past
November 15, 2007 - April 17, 2008
FARMERS FINANCIAL SOLUTIONS, LLC
BD
CRD#: 103863
TEMPE, AZ
Past
April 24, 2007 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
MESA, AZ
Past
April 24, 2007 - October 12, 2007
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
MESA, AZ
Past
February 9, 2007 - April 27, 2007
USAA INVESTMENT SERVICES COMPANY
BD
CRD#: 5475
PHOENIX, AZ
Past
September 6, 2006 - January 22, 2007
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
TEMPE, AZ
Past
March 2, 2005 - April 5, 2006
FBL MARKETING SERVICES, LLC
BD
CRD#: 5309
PHOENIX, AZ
Past
February 11, 2003 - February 19, 2003
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
February 11, 2003 - February 19, 2003
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
Past
July 14, 1993 - January 27, 2005
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
MINNEAPOLIS, MN
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(11/2/2010)
IAR
Arizona(3/3/2011)
RR
California(11/18/2010)
RR
Colorado(1/13/2017)
RR
Iowa(7/12/2018)
RR
Michigan(1/17/2019)
RR
Minnesota(8/5/2024)
RR
Nevada(2/15/2018)
RR
North Carolina(3/22/2024)
RR
Ohio(9/29/2020)
RR
Oregon(7/5/2017)
RR
Utah(6/27/2012)
RR
Wisconsin(6/25/2020)
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
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.
