MS
Michael J. Smith
THRIVENT INVESTMENT MANAGEMENT
Alpharetta, GA 30004
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CRD#: 2825249
MS
Professional summary
Michael John Smith, who also goes by Michael J Smith, Michael John Smith, is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Alpharetta, Georgia.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Michael has worked at 3 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Michael J Smith | Michael John Smith
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.
TVCC FINANCE COMMITTEE POSITION: Committee member NATURE: TVCC is a church and my role is a member of the Finance Committee. As a member, I am part of a team that reviews giving, expenses, and budgets. I provide feedback and input into the overall state of the finances of the church and provide feedback and recommendations to the Elder Ministry Team and church staff. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2008 ADDRESS: 4655 Bethelview Road, Cumming GA 30040, United States DESCRIPTION: TVCC is a church and my role is a member of the Finance Committee. As a member, I am part of a team that reviews giving, expenses, and budgets. I provide feedback and input into the overall state of the finances of the church and provide feedback and recommendations to the Elder Ministry Team and church staff. THE VINE COMMUNITY CHURCH POSITION: Teaching Elder NATURE: PCA Church INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2006 ADDRESS: 4655 Bethelview Road, Cumming GA 30040, United States DESCRIPTION: Teaching Elder: Given to the ministry of the Word and prayer, visiting members when able, specifically for the prayer and encouragement of the sick and distressed and comforting the bereaved. Assist in the administration of the sacraments. Responsibilities include: attend session meeting monthly and elder meeting quarterly, assist in the administration of the sacraments and prayer as needed. Support, encourage and provide input to the staff, pastor, and ruling elders as needed. PITT & SMITH LLC POSITION: Partner NATURE: LLC established for a partnership in the ownership and rental of residential realestate. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2007 ADDRESS: 370 Longwood Lane, Alpharetta GA 30004, United States DESCRIPTION: 50% owner. Find and retain renters, periodically inspect the property, provide repaires as needed, keep track of income and expenses, provide finacial documents to CPA for tax preparation. CAFE 1040 POSITION: Board member NATURE: Cafe 1040'sseeks to mobilize the next generation of missionaries though providing short term emersion experiences where young adults can walk alongside long-term missionaries to see what their day to day lives are like. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 04/01/2023 ADDRESS: PO BOX 110, Alpharetta GA 30009, United States DESCRIPTION: Attend quarterly meetings, provide input, support, direction and accountability to the organization, vote on key orders of business such as annual budgets, strategic initiatives, etc. THE FORT FOSTER CARE INC POSITION: board member NATURE: The Fort Foster Care is dedicate to Protecting Foster Children With Strong Support SystemsThe Fort Foster House is caring for foster children in a structure that welcomes children, siblings, and more in Forsyth County.? INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2023 ADDRESS: 1760 Blossom Creek Ln, Cumming GA 30040, United States DESCRIPTION: Attend monthly board meetings.Provide ongoing non financial guidance and support for the executive director and subcommittee teams dedicated to strategy, policies and procedures, planning, marketing, and events.
CRS (Client Relationship Summary) - RIA
Click below to view Michael John Smith's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael John Smith'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
March 8, 2017 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 12600 Deerfield Parkway, Alpharetta, GA 30004RIA
BD
CRD#: 18387
Alpharetta, GA
Current
March 7, 2017 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 12600 Deerfield Parkway, Alpharetta, GA 30004RIA
BD
CRD#: 18387
Alpharetta, GA
Past
October 9, 2012 - March 6, 2017
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
ROSWELL, GA
Past
March 21, 2012 - March 6, 2017
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
ROSWELL, GA
Past
May 29, 1997 - April 3, 1998
FIRST TRUST PORTFOLIOS L.P.
BD
CRD#: 28519
WHEATON, IL
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
Florida(4/24/2017)
RR
Georgia(3/8/2017)
IAR
Georgia(3/8/2017)
RR
Illinois(11/5/2021)
RR
Iowa(10/18/2023)
RR
New York(11/11/2025)
RR
North Carolina(9/5/2020)
RR
South Carolina(4/24/2017)
RR
Tennessee(10/18/2019)
RR
Texas(2/12/2024)
IAR
Texas(2/14/2024)
RR
Virginia(4/24/2017)
Exams
State Security Law Exam
State Security Law 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.
