MR
Michael J. Romano
THRIVENT ASSET MANAGEMENT
Minneapolis, MN 55402-3265
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CRD#: 2766856
MR
Professional summary
Michael James Romano, CIMA® is a registered financial advisor currently at THRIVENT ASSET MANAGEMENT, LLC located in Minneapolis, Minnesota and THRIVENT DISTRIBUTORS, LLC located in Minneapolis, Minnesota.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Michael has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
CRS (Client Relationship Summary) - RIA
Click below to view Michael James Romano'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
January 5, 2021 - Present
THRIVENT ASSET MANAGEMENT, LLC
Office #1: 901 Marquette Avenue Suite 2500, Minneapolis, MN 55402-3265RIA
CRD#: 137751
Minneapolis, MN
Current
August 28, 2017 - Present
THRIVENT DISTRIBUTORS, LLC
Office #1: 901 Marquette Avenue Suite 2500, Minneapolis, MN 55402-3265BD
CRD#: 179512
Minneapolis, MN
Past
June 2, 2014 - July 29, 2016
RS FUNDS DISTRIBUTOR LLC
BD
CRD#: 165753
Boston, MA
Past
March 6, 2007 - June 2, 2014
GUARDIAN INVESTOR SERVICES LLC
BD
CRD#: 6635
NEW YORK, NY
Past
January 28, 1998 - October 14, 2006
FAM DISTRIBUTORS, INC.
BD
CRD#: 4100
NEW YORK, 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".
TA
THRIVENT ASSET MANAGEMENT, LLC
THRIVENT ASSET MANAGEMENT LLC | THRIVENT ASSET MANAGEMENT, LLC
CRD#: 137751 / SEC#: 801-64988
RIA
Registered Investment Advisory firm - (12/15/2005 Approved)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
Alabama(8/28/2017)
RR
Alaska(8/28/2017)
RR
Arizona(8/28/2017)
RR
Arkansas(8/28/2017)
RR
California(8/28/2017)
RR
Colorado(8/28/2017)
RR
Connecticut(8/28/2017)
RR
Delaware(8/28/2017)
RR
District of Columbia(8/28/2017)
RR
Florida(8/28/2017)
RR
Georgia(8/28/2017)
RR
Hawaii(8/28/2017)
RR
Idaho(8/28/2017)
RR
Illinois(8/28/2017)
RR
Indiana(8/28/2017)
RR
Iowa(8/28/2017)
RR
Kansas(8/28/2017)
RR
Kentucky(8/28/2017)
RR
Louisiana(8/28/2017)
RR
Maine(8/28/2017)
RR
Maryland(8/28/2017)
RR
Massachusetts(8/28/2017)
RR
Michigan(8/28/2017)
RR
Minnesota(8/28/2017)
IAR
Minnesota(1/5/2021)
RR
Mississippi(8/28/2017)
RR
Missouri(8/28/2017)
RR
Montana(8/28/2017)
RR
Nebraska(8/28/2017)
RR
Nevada(8/28/2017)
RR
New Hampshire(8/28/2017)
RR
New Jersey(8/28/2017)
RR
New Mexico(8/28/2017)
RR
New York(8/28/2017)
RR
North Carolina(8/28/2017)
RR
North Dakota(8/28/2017)
RR
Ohio(8/29/2017)
RR
Oklahoma(8/28/2017)
RR
Oregon(8/28/2017)
RR
Pennsylvania(8/28/2017)
RR
Rhode Island(8/28/2017)
RR
South Carolina(8/28/2017)
RR
South Dakota(8/28/2017)
RR
Tennessee(8/28/2017)
RR
Texas(8/28/2017)
RR
Utah(8/28/2017)
RR
Vermont(8/28/2017)
RR
Virginia(8/28/2017)
RR
Washington(8/28/2017)
RR
West Virginia(8/28/2017)
RR
Wisconsin(8/28/2017)
RR
Wyoming(8/28/2017)
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
TA
THRIVENT ASSET MANAGEMENT, LLC
THRIVENT ASSET MANAGEMENT LLC | THRIVENT ASSET MANAGEMENT, LLC
CRD#: 137751 / SEC#: 801-64988
RIA
Registered Investment Advisory firm - (12/15/2005 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
901 Marquette Avenue Suite 2500, Minneapolis, MN 55402-3211
Mailing Address
Phone number
(800) 847-4836
Established
Firm type
Fiscal year end
# of Employees
450
SEC notice filing (2 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 31 |
| AUM (Assets Under Management) | $ 46,815,882,100 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
