TB
Tammy L. Brown
THRIVENT INVESTMENT MANAGEMENT
GOODLETTSVILLE, TN 37072
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CRD#: 2433115
TB
Professional summary
Tammy Lynn Brown, who also goes by Tammy Lynn Combs, Tammy Lynn Rohrer, is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Goodlettsville, Tennessee.
Tammy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Tammy has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tammy Lynn Combs | Tammy Lynn Rohrer
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.
BROWN DYNASTY TRUST POSITION: trustee NATURE: Farm Land Rental INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 05/19/2020 ADDRESS: 111 Moss Court, Bowling Green KY 42104, United States DESCRIPTION: Collecting Rent and depositing into the trust account and paying all farm expenses and taxes.
CRS (Client Relationship Summary) - RIA
Click below to view Tammy Lynn Brown's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Tammy Lynn Brown'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
April 29, 2014 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 1000 Northchase Dr, Goodlettsville, TN 37072RIA
BD
CRD#: 18387
GOODLETTSVILLE, TN
Current
April 29, 2014 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 1000 Northchase Dr, Goodlettsville, TN 37072RIA
BD
CRD#: 18387
GOODLETTSVILLE, TN
Past
July 22, 2013 - April 25, 2014
MONEY CONCEPTS CAPITAL CORP
RIA
CRD#: 12963
LOUISVILLE, KY
Past
July 22, 2013 - April 25, 2014
MONEY CONCEPTS CAPITAL CORP
BD
CRD#: 12963
LOUISVILLE, KY
Past
November 8, 2011 - July 23, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
NASHVILLE, TN
Past
October 23, 2009 - July 22, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NASHVILLE, TN
Past
August 18, 2009 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
BRENTWOOD, TN
Past
May 16, 2008 - June 23, 2008
FIRST HORIZON ADVISORS, INC.
BD
CRD#: 17117
NASHVILLE, TN
Past
April 20, 2007 - April 30, 2008
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
CINCINNATI, OH
Past
April 7, 2005 - February 23, 2007
FIFTH THIRD SECURITIES, INC.
BD
CRD#: 628
FLORENCE, KY
Past
June 4, 2001 - May 20, 2003
THE INVESTMENT CENTER, INC.
BD
CRD#: 17839
BEDMINSTER, NJ
Past
December 23, 1998 - August 28, 2000
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
PHILADELPHIA, PA
Past
August 16, 1996 - December 31, 1996
LEGACY FINANCIAL SERVICES, INC.
BD
CRD#: 38697
PETALUMA, CA
Past
January 26, 1995 - May 12, 1995
FIDELITY DISTRIBUTORS COMPANY LLC
BD
CRD#: 17507
SMITHFIELD, RI
Past
December 10, 1993 - January 26, 1995
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SMITHFIELD, RI
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
Alabama(9/17/2020)
RR
California(7/14/2023)
RR
Colorado(10/24/2024)
RR
Florida(4/17/2017)
RR
Georgia(1/26/2018)
RR
Illinois(11/14/2023)
RR
Indiana(6/3/2022)
RR
Kentucky(4/29/2014)
IAR
Kentucky(4/29/2014)
RR
Louisiana(8/23/2019)
RR
Maine(10/1/2018)
RR
Michigan(4/19/2018)
RR
Missouri(3/13/2024)
RR
Ohio(7/14/2023)
RR
Pennsylvania(10/1/2018)
RR
South Carolina(6/30/2022)
RR
Tennessee(6/2/2014)
RR
Texas(5/21/2021)
IAR
Texas(5/24/2021)
Exams
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.
