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MR

Michelle Rodriguez

THRIVENT DISTRIBUTORS
Minneapolis, MN 55402-3265
Some features on this profile are disabled
CRD#: 2872073
MR

Professional summary

Michelle Rodriguez, who also goes by Michelle Marie Rodriguez, Michelle M Simpson, is a registered financial professional currently at THRIVENT DISTRIBUTORS, LLC located in Minneapolis, Minnesota.

Michelle is registered as a RR (Registered Representative) and started their career in finance in 1997. Michelle has worked at 5 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Michelle Marie Rodriguez | Michelle M Simpson

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 Michelle Rodriguez'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

April 21, 2020 - Present

THRIVENT DISTRIBUTORS, LLC

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

February 24, 2016 - March 31, 2020

QUASAR DISTRIBUTORS, LLC

BD
CRD#: 103848
PORTLAND, ME
Past

December 3, 2015 - February 8, 2016

AMERICAN ENTERPRISE INVESTMENT SERVICES INC.

BD
CRD#: 26506
Minneapolis, MN
Past

March 13, 2002 - June 9, 2015

HARTFORD FUNDS DISTRIBUTORS, LLC

BD
CRD#: 45995
WOODBURY, MN
Past

October 26, 2001 - December 31, 2001

WOODBURY FINANCIAL SERVICES, INC.

BD
CRD#: 421
OAKDALE, MN
Past

May 20, 1997 - July 14, 2000

WOODBURY FINANCIAL SERVICES, INC.

BD
CRD#: 421
OAKDALE, MN

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
Minnesota
(1/3/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 6/10/2016
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 5/19/1997
Investment Company Products/Variable Contracts Representative 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#: 179512Minneapolis, MN 55402-3265

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