Carolyn A. Tuohy
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.
Carolyn A Tuohy, who also goes by Carolyn Ann Tuohy, was a registered financial professional .
Carolyn is a previously registered financial professional and started their career in finance in 1996. Carolyn had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 30, 2015 - January 13, 2017
THRIVENT DISTRIBUTORS, LLC
December 20, 2013 - January 13, 2017
THRIVENT INVESTMENT MANAGEMENT INC.
January 19, 2012 - January 13, 2017
THRIVENT INVESTMENT MANAGEMENT INC.
April 19, 2011 - November 14, 2011
WOODBURY FINANCIAL SERVICES, INC.
March 3, 2005 - March 16, 2011
THRIVENT INVESTMENT MANAGEMENT INC.
June 29, 1998 - December 7, 2000
GOLDMAN SACHS & CO. LLC
April 4, 1997 - April 20, 1998
FIDELITY DISTRIBUTORS COMPANY LLC
October 15, 1996 - January 15, 1997
WESSELS, ARNOLD & HENDERSON, L.L.C.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
THRIVENT DISTRIBUTORS, LLC
CRD#: 179512 / SEC#: , 8-69606
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THRIVENT FINANCIAL HOLDINGS, INC. | OWNER | |
| BEAVER, TROY ALAN | ELECTED MANAGER AND VICE PRESIDENT | 5099275 |
| CLOUTIER, JEFFREY DAVID | CHIEF FINANCIAL OFFICER | 5656265 |
| DRYDEN, EDWARD STUART | CHIEF COMPLIANCE OFFICER | 2033420 |
| JACKSON, JOHN DAVID | CHIEF LEGAL OFFICER AND SECRETARY | 5877878 |
| KREMENAK, MICHAEL WALDEN | ELECTED MANAGER AND PRESIDENT | 5892015 |
| RIESTERER, JAMIE LEE | ELECTED MANAGER | 4784706 |
Red Flags
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