Lori A. Casey
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 Ann Casey, who also goes by Lori Ann Carpenter, Lori Ann Sifferd, was a registered financial professional .
Lori is a previously registered financial professional and started their career in finance in 1996. Lori had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 7, Series 53, Series 4 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
May 29, 2020 - October 28, 2020
THRIVENT INVESTMENT MANAGEMENT INC.
May 28, 2020 - October 28, 2020
THRIVENT INVESTMENT MANAGEMENT INC.
June 17, 2016 - June 25, 2018
SIGNATOR INVESTORS, INC.
May 26, 2016 - June 25, 2018
SIGNATOR INVESTORS, INC.
June 20, 2007 - November 24, 2015
THRIVENT INVESTMENT MANAGEMENT INC.
June 20, 2007 - November 24, 2015
THRIVENT INVESTMENT MANAGEMENT INC.
April 14, 2006 - April 13, 2007
SOUTHWEST TEXAS CAPITAL, L.L.C
April 4, 2006 - April 13, 2007
SOUTHWEST TEXAS CAPITAL, L.L.C
July 1, 2003 - March 29, 2006
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - March 29, 2006
WELLS FARGO CLEARING SERVICES, LLC
April 8, 2002 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
January 4, 2001 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
March 2, 1998 - January 26, 2001
RBC CAPITAL MARKETS, LLC
January 2, 1998 - March 2, 1998
DAIN RAUSCHER INCORPORATED
December 12, 1996 - January 2, 1998
RAUSCHER PIERCE REFSNES, INC.
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.
