Brian Hartl

THRIVENT INVESTMENT MANAGEMENT

Sturgeon Bay, WI 54235

Some features on this profile are disabled

CRD#: 2416070

Professional summary

Brian Hartl, who also goes by Brian Robert Hartl, is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Sturgeon Bay, Wisconsin.

Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Brian has worked at 12 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Brian Robert Hartl

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Hartl's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Brian Hartl's CRS (Customer Relationship Summary).

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®

None

Experience

Current

January 10, 2020 - Present

THRIVENT INVESTMENT MANAGEMENT INC.

Office #1: 160 S Madison Ave, Sturgeon Bay, WI 54235

RIA

CRD#: 18387

Sturgeon Bay, WI

Current

January 10, 2020 - Present

THRIVENT INVESTMENT MANAGEMENT INC.

Office #1: 160 S Madison Ave, Sturgeon Bay, WI 54235

RIA

CRD#: 18387

Sturgeon Bay, WI

Past

January 2, 2018 - December 31, 2018

PRIVATE CLIENT SERVICES, LLC

CRD#: 120222

STURGEON BAY, WI

Past

August 8, 2016 - January 10, 2020

NICOLET WEALTH MANAGEMENT

RIA

CRD#: 283940

STURGEON BAY, WI

Past

June 1, 2016 - December 31, 2017

SII INVESTMENTS, INC.

RIA

CRD#: 2225

STURGEON BAY, WI

Past

June 1, 2016 - December 31, 2017

SII INVESTMENTS, INC.

CRD#: 2225

STURGEON BAY, WI

Past

October 11, 2011 - June 15, 2016

LPL FINANCIAL LLC

RIA

CRD#: 6413

STURGEON BAY, WI

Past

October 11, 2011 - June 15, 2016

LPL FINANCIAL LLC

CRD#: 6413

STURGEON BAY, WI

Past

January 8, 2009 - October 11, 2011

UVEST FINANCIAL SERVICES GROUP, INC.

RIA

CRD#: 13787

WAUPACA, WI

Past

July 25, 2007 - July 25, 2007

UVEST FINANCIAL SERVICES GROUP, INC.

RIA

CRD#: 13787

WAUPACA, WI

Past

July 25, 2007 - October 11, 2011

UVEST FINANCIAL SERVICES GROUP, INC.

CRD#: 13787

WAUPACA, WI

Past

July 30, 2002 - August 15, 2007

VISION ASSET MANAGEMENT INC

RIA

CRD#: 110412

STURGEON BAY, WI

Past

June 1, 2001 - July 24, 2007

VISION INVESTMENT SERVICES, INC.

CRD#: 46609

STURGEON BAY, WI

Past

February 22, 1999 - December 31, 2000

WINTRUST INVESTMENTS LLC

CRD#: 875

CHICAGO, IL

Past

April 18, 1997 - June 27, 2001

FOCUSED INVESTMENTS L.L.C.

CRD#: 37532

CHICAGO, IL

Past

February 14, 1994 - June 27, 1996

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

February 14, 1994 - June 27, 1996

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

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".

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)

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.

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

Illinois
(9/30/2020)

Minnesota
(8/26/2025)

Nevada
(9/6/2024)

Texas
(6/14/2023)

IAR

Texas
(6/15/2023)

Wisconsin
(1/10/2020)

IAR

Wisconsin
(1/10/2020)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/26/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/14/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/11/1994

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

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)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See 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

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

THRIVENT INVESTMENT MANAGEMENT INC. ADVISORFLEX MANAGED VARIABLE ANNUITY PROGRAM (6/30/2025)

THRIVENT INVESTMENT MANAGEMENT INC MANAGED ACCOUNTS PROGRAM (6/30/2025)

THRIVENT INVESTMENT MANAGEMENT INC. DEDICATED PLANNING SERVICES (6/30/2025)

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

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/21/2024	Cover Page	Report
01/25/2024	Cover Page	Report

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.

Similar Advisors

Matthew Boelter

EDELMAN FINANCIAL ENGINES

IAR

LYNNWOOD, WA

Jonathan Vasquez Contreras

PFS INVESTMENTS INC.

Bronx, NY

Gabriel Shahin

FALCON WEALTH PLANNING, INC.

IAR

ONTARIO, CA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Brian Hartl

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Hartl's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Brian Hartl's CRS (Customer Relationship Summary).

Certified licenses

Experience

THRIVENT INVESTMENT MANAGEMENT INC.

PRIVATE CLIENT SERVICES, LLC

NICOLET WEALTH MANAGEMENT

SII INVESTMENTS, INC.

SII INVESTMENTS, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

UVEST FINANCIAL SERVICES GROUP, INC.

UVEST FINANCIAL SERVICES GROUP, INC.

UVEST FINANCIAL SERVICES GROUP, INC.

VISION ASSET MANAGEMENT INC

VISION INVESTMENT SERVICES, INC.

WINTRUST INVESTMENTS LLC

FOCUSED INVESTMENTS L.L.C.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

THRIVENT INVESTMENT MANAGEMENT INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/26/1999

Series 63

Date: 12/14/1993

SIE

Date: 10/1/2018

Series 7

Date: 2/11/1994

FINRA

Current Firm

THRIVENT INVESTMENT MANAGEMENT INC.

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

THRIVENT INVESTMENT MANAGEMENT INC.

TRUST BUT VERIFY

Similar Advisors