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TG

Tanya M. Gudex

THRIVENT INVESTMENT MANAGEMENT
APPLETON, WI 54919-0001
Some features on this profile are disabled
CRD#: 2754142
TG

Professional summary

Tanya M Gudex, who also goes by Tanya Marie Gudex, Tanya Marie Pingel, Tanya M Pingel, is a registered financial professional currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Appleton, Wisconsin and THRIVENT DISTRIBUTORS, LLC located in Minneapolis, Minnesota.

Tanya is registered as a RR (Registered Representative) and started their career in finance in 1996. Tanya has worked at 2 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Tanya Marie Gudex | Tanya Marie Pingel | Tanya M Pingel

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) - BD

Click below to view Tanya M Gudex'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®
None

Experience

Current

October 7, 2019 - Present

THRIVENT INVESTMENT MANAGEMENT INC.

Office #1: 4321 N Ballard Rd, Appleton, WI 54919-0001
RIA
BD
CRD#: 18387
APPLETON, WI
Current

October 8, 2019 - Present

THRIVENT DISTRIBUTORS, LLC

Office #1: 901 Marquette Avenue Suite 2500, Minneapolis, MN 55402-3265
BD
CRD#: 179512
Minneapolis, MN
Past

October 21, 1996 - August 6, 2018

THRIVENT INVESTMENT MANAGEMENT INC.

BD
CRD#: 18387
APPLETON, WI

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Wisconsin
(10/7/2019)

Exams

State Security Law Exam
RR
Series 63
Date: 11/8/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 8/6/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 10/18/1996
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 12/17/1997
Investment Company Products/Variable Contracts Principal Examination
SRO Registrations
RR
FINRA

Current Firm

TD
THRIVENT DISTRIBUTORS, LLC
THRIVENT DISTRIBUTORS, LLC

CRD#: 179512 / SEC#: , 8-69606

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
901 Marquette Avenue Suite 2500, Minneapolis, MN 55402-3211
Mailing Address
901 Marquette Avenue Suite 2500, Minneapolis, MN 55402-3211
Phone number
(800) 847-4836
Established
Delaware since 02/23/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
THRIVENT FINANCIAL HOLDINGS, INC.OWNER
BEAVER, TROY ALANELECTED MANAGER AND VICE PRESIDENT5099275
CLOUTIER, JEFFREY DAVIDCHIEF FINANCIAL OFFICER5656265
DRYDEN, EDWARD STUARTCHIEF COMPLIANCE OFFICER2033420
JACKSON, JOHN DAVIDCHIEF LEGAL OFFICER AND SECRETARY5877878
KREMENAK, MICHAEL WALDENELECTED MANAGER AND PRESIDENT5892015
RIESTERER, JAMIE LEEELECTED MANAGER4784706

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.

Company Information

THRIVENT DISTRIBUTORS, LLC

CRD#: 179512Appleton, WI 54919-0001

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