Lori L. Blohm
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.
Lori L Blohm, who also goes by Lori Lynn Blohm, Lori L Blohn, was a registered financial professional .
Lori is a previously registered financial professional and started their career in finance in 1996. Lori had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 51, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 5, 2019 - September 13, 2024
THRIVENT INVESTMENT MANAGEMENT INC.
February 5, 2019 - September 13, 2024
THRIVENT INVESTMENT MANAGEMENT INC.
January 29, 2014 - November 30, 2018
SECURIAN FINANCIAL SERVICES, INC.
January 29, 2014 - November 30, 2018
CRI SECURITIES, LLC
October 29, 2013 - November 30, 2018
SECURIAN FINANCIAL SERVICES, INC.
October 29, 2013 - November 30, 2018
CRI SECURITIES, LLC
September 30, 2011 - March 19, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
February 21, 2008 - June 23, 2010
NEW ENGLAND SECURITIES
April 13, 2006 - May 1, 2007
ALLSTATE FINANCIAL SERVICES, LLC
November 18, 1999 - April 3, 2006
PRUCO SECURITIES, LLC.
March 11, 1996 - March 9, 1998
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
THRIVENT INVESTMENT MANAGEMENT INC.
CRD#: 18387 / SEC#: 801-29618, 8-36525
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 INVESTMENT MANAGEMENT INC.
CRD#: 18387 / SEC#: 801-29618, 8-36525
Contact information
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.
