GR
Gregory C. Roe
THRIVENT INVESTMENT MANAGEMENT
Red Wing, MN
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CRD#: 2956300
GR
Professional summary
Gregory Conrad Roe, ChFC®, CLU®, who also goes by Greg Roe, is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Red Wing, Minnesota.
Gregory is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Gregory 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
Greg Roe
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.
RENTAL PROPERTY POSITION: owner NATURE: I own a home that my sister rents from me. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 09/03/2018 ADDRESS: 2308 Brooks Ave, Red Wing MN 55066, United States DESCRIPTION: taking care of insurance, taxes, etc BLUE CROSS/BLUE SHIELD POSITION: agent NATURE: Health Insurance agent - doing only Med Supp and Part D now INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 08/01/2006 ADDRESS: 217 Plum St Ste 110, Red Wing MN 55066, United States DESCRIPTION: assist clients with getting Medicare supplement and/or Part D supplement applications completed and educating them on choices
CRS (Client Relationship Summary) - RIA
Click below to view Gregory Conrad Roe's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Gregory Conrad Roe'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
November 18, 2013 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #2: 217 Plum St Ste 110, Red Wing, MN 55066RIA
BD
CRD#: 18387
Red Wing, MN
Current
July 1, 2002 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 217 Plum St Ste 110, Red Wing, MN 55066RIA
BD
CRD#: 18387
Red Wing, MN
Past
July 18, 2006 - December 31, 2007
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
CRD#: 18387
RED WING, MN
Past
October 23, 1997 - July 1, 2002
LUTHERAN BROTHERHOOD SECURITIES CORP.
BD
CRD#: 4205
MINNEAPOLIS, MN
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
Arkansas(8/22/2024)
RR
California(4/7/2022)
RR
Florida(3/6/2025)
RR
Iowa(2/5/2021)
RR
Minnesota(7/1/2002)
IAR
Minnesota(11/18/2013)
RR
Oregon(4/19/2021)
RR
South Carolina(1/15/2019)
RR
South Dakota(11/16/2004)
RR
Texas(2/5/2021)
IAR
Texas(2/5/2021)
RR
Wisconsin(7/1/2002)
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.
