Cathy L. Vullo

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CRD#: 2492080

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Cathy Lee Vullo, who also goes by Cathy L Millonzi, Cathy Lee Millonzi, was a registered financial professional .

Cathy is a previously registered financial professional and started their career in finance in 1994. Cathy had worked at 9 firms and has passed the Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Cathy L Millonzi | Cathy Lee Millonzi

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 11, 2011 - June 12, 2013

THRIVENT INVESTMENT MANAGEMENT INC.

CRD#: 18387

CAMP HILL, PA

Past

May 16, 2008 - March 8, 2010

NEXT FINANCIAL GROUP, INC.

CRD#: 46214

STATE COLLEGE, PA

Past

May 10, 2005 - May 22, 2006

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

STATE COLLEGE, PA

Past

January 3, 2005 - May 2, 2005

EQUITY SERVICES, INC.

RIA

CRD#: 265

STATE COLLEGE, PA

Past

October 18, 2002 - May 2, 2005

EQUITY SERVICES, INC.

CRD#: 265

MONTPELIER, VT

Past

January 7, 1999 - November 28, 2000

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

September 4, 1998 - January 19, 1999

KEYBANC CAPITAL MARKETS INC.

CRD#: 566

CLEVELAND, OH

Past

June 20, 1996 - September 4, 1998

ESSEX CAPITAL MARKETS, INC.

CRD#: 11896

ROCHESTER, NY

Past

January 16, 1996 - June 12, 1996

KEY INVESTMENTS INC.

CRD#: 15873

CLEVELAND, OH

Past

May 23, 1994 - November 20, 1995

CITICORP INVESTMENT SERVICES

CRD#: 23988

LONG ISLAND CITY, NY

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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

Series 63

Date: 8/9/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 5/20/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/7/1999

General Securities Principal Examination

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)

PREMIUM

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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

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

THRIVENT INVESTMENT MANAGEMENT INC MANAGED ACCOUNTS PROGRAM (2/11/2026)

THRIVENT INVESTMENT MANAGEMENT INC. DEDICATED PLANNING SERVICES (12/12/2025)

THRIVENT INVESTMENT MANAGEMENT INC. ADVISORFLEX MANAGED VARIABLE ANNUITY PROGRAM (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
01/22/2026	Cover Page	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.

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Firm Stability Insights

Cathy L. Vullo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

THRIVENT INVESTMENT MANAGEMENT INC.

NEXT FINANCIAL GROUP, INC.

ALLSTATE FINANCIAL SERVICES, LLC

EQUITY SERVICES, INC.

EQUITY SERVICES, INC.

LPL FINANCIAL LLC

KEYBANC CAPITAL MARKETS INC.

ESSEX CAPITAL MARKETS, INC.

KEY INVESTMENTS INC.

CITICORP INVESTMENT SERVICES

Primary Firm SEC Registration

THRIVENT INVESTMENT MANAGEMENT INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/9/1994

Series 7

Date: 5/20/1994

Series 24

Date: 6/7/1999

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

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