RY
Roger D. Yoh
THRIVENT INVESTMENT MANAGEMENT
Wernersville, PA
Some features on this profile are disabled
CRD#: 2701094
RY
Professional summary
Roger D Yoh, ChFC®, CLU®, who also goes by Roger Duke Yoh, is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Wernersville, Pennsylvania.
Roger is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Roger has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Roger Duke Yoh
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.
READING BERKS BASKETBALL ASSOCIATION, INC. POSITION: BOARD OF DIRECTORS NATURE: THE MISSION OF THE ASSOCIATION IS TO PROMOTE BASKETBALL IN OUR COMMUNITY (THE READING AND BERKS COUNTY AREA) BY SUPPORTING THE PRESENT AND HONORING THE PAST. THE RBBA, INC. IS A 501(C)(3) NON-PROFIT ORGANIZATION THAT RELIES ON FINANCIAL SUPPORT OF OUR MEMBERS, INDIVIDUALS, ORGANIZATIONS, AND BUSINESSES. I DO NOT RECEIVE COMPENZATION TO BE ON THE BOARD. THE WEBSITE IS AS FOLLOWS: READINGBBA.ORG AND THE EMAIL ADDRESS IS AS FOLLOWS:ADMIN@READINGBBA.ORG. INVESTMENT RELATED: NO NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/03/2011 ADDRESS: 1161 PERSHING BLVD, READING PA 19611 DESCRIPTION: I AM A MEMBER OF THE BOARD AND I CHAIR THE HALL OF FAME COMMITTEE. THE COMMITTEE FORMULATES AN ANNUAL BALLOT OF PAST BASKETBALL PLAYERS COACHES FOR SELECTION TO THE HOF. THE ENTIRE BOARD VOTES ON THE SELECTION.
CRS (Client Relationship Summary) - RIA
Click below to view Roger D Yoh's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Roger D Yoh'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®
Experience
Current
April 21, 2015 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #2: 102 Tomahawk Dr Arrowhead Businesss Park, Kutztown, PA 19530RIA
BD
CRD#: 18387
Wernersville, PA
Current
March 19, 2015 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #2: 102 Tomahawk Dr Arrowhead Businesss Park, Kutztown, PA 19530RIA
BD
CRD#: 18387
Wernersville, PA
Past
August 18, 2011 - December 7, 2011
CETERA FINANCIAL SPECIALISTS LLC
BD
CRD#: 10358
WERNERSVILLE, PA
Past
November 14, 2008 - August 10, 2009
CETERA FINANCIAL SPECIALISTS LLC
BD
CRD#: 10358
SCHAUMBURG, IL
Past
October 24, 2008 - November 14, 2008
CAPITAL BROKERAGE CORPORATION
BD
CRD#: 10465
GLEN ALLEN, VA
Past
October 5, 2006 - September 17, 2008
HIMCO DISTRIBUTION SERVICES COMPANY
BD
CRD#: 6604
PLYMOUTH MEETING, PA
Past
April 17, 2006 - August 22, 2006
WELLS FARGO INSURANCE SERVICES INVESTMENT ADVISORS, INC.
BD
CRD#: 35419
READING, PA
Past
May 21, 2004 - April 3, 2006
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
READING, PA
Past
May 21, 2004 - April 3, 2006
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
July 1, 2002 - May 11, 2004
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
MINNEAPOLIS, MN
Past
January 29, 1996 - July 1, 2002
LUTHERAN BROTHERHOOD SECURITIES CORP.
BD
CRD#: 4205
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
Delaware(8/2/2024)
RR
Florida(9/11/2025)
RR
Maryland(8/22/2023)
RR
New Jersey(8/2/2024)
RR
Pennsylvania(4/21/2015)
IAR
Pennsylvania(4/21/2015)
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)
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
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.
