MO
Michael S. Obrien
THRIVENT INVESTMENT MANAGEMENT
Las Vegas, NV 89113
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CRD#: 2821855
MO
Professional summary
Michael Scott Obrien, who also goes by Michael S Obrien, is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Las Vegas, Nevada.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Michael has worked at 2 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Michael S Obrien
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.
HOPELINK OF SOUTHERN NEVADA POSITION: Board Member NATURE: Non-profit organization that helps low-income families and senior citizens pay utilities and rent. INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2017 ADDRESS: 178 Westminster Way, Henderson NV 89015, United States DESCRIPTION: Help organize and run various fundraising events throughout the year. UNSHAKABLE POSITION: Board Member NATURE: Unshakable helps women that have been traumatized to reenter society and a career. INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 03/30/2023 ADDRESS: 3535 W. Sahara Ave., Las Vegas NV 89102, United States DESCRIPTION: I will be attending board meetings and helping with annual events
CRS (Client Relationship Summary) - RIA
Click below to view Michael Scott Obrien's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael Scott Obrien'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®
NoneExperience
Current
February 15, 2017 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 8345 West Sunset Rd, Las Vegas, NV 89113RIA
BD
CRD#: 18387
Las Vegas, NV
Current
January 7, 2017 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 8345 West Sunset Rd, Las Vegas, NV 89113RIA
BD
CRD#: 18387
Las Vegas, NV
Past
December 23, 1996 - January 1, 1998
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
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
Arizona(6/26/2023)
RR
California(11/9/2021)
RR
Colorado(5/3/2023)
RR
Florida(6/24/2025)
RR
Georgia(6/24/2025)
RR
Idaho(8/7/2024)
RR
Illinois(9/4/2025)
RR
Kansas(3/7/2023)
RR
Kentucky(6/26/2023)
RR
Michigan(6/24/2025)
RR
Minnesota(3/28/2024)
RR
Montana(6/24/2025)
RR
Nevada(1/30/2017)
IAR
Nevada(2/15/2017)
RR
New Jersey(6/24/2025)
RR
New Mexico(6/26/2023)
RR
New York(5/17/2018)
RR
North Carolina(6/24/2025)
RR
Oregon(9/14/2022)
RR
South Carolina(6/24/2025)
RR
South Dakota(6/24/2025)
RR
Texas(1/5/2021)
IAR
Texas(1/5/2021)
RR
Utah(3/2/2023)
RR
Virginia(6/24/2025)
RR
Washington(9/14/2022)
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)
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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.
