GM
Galen Mckay
THRIVENT INVESTMENT MANAGEMENT
Saint Paul, MN
Some features on this profile are disabled
CRD#: 2992486
GM
Professional summary
Galen Mckay, who also goes by Galen S Mckay, Galen Stephen Mckay, is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Saint Paul, Minnesota.
Galen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Galen has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 9, Series 10 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Galen S Mckay | Galen Stephen Mckay
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.
OHB RENTAL LLC POSITION: Owner NATURE: OHB Rental LLC to keep track of rental income and expenses for two rental properties my wife and I own (1652 Randolph Ave. St. Paul, MN and 1323 Portland Ave. St. Paul, MN). INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 10/16/2020 ADDRESS: 948 Portland Avenue, St. Paul MN 55104, United States DESCRIPTION: Collecting rent from the two tenants, and paying for maintenance and expenses for the duplexes. NOWHERE ENTERTAINMENT LLC (FORMERLY HAUNT ARMADA LLC) POSITION: Owner NATURE: My business partners and I arelooking to opena large-scale haunted attraction in the Twin Cities metro area. Beyond the Halloween season, our business would include year round haunted mini-golf and laser tag, themed escape room experiences with live actors, a Christmas market, and eventually a venue for themed events e.g. weddings. INVESTMENT RELATED: No NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 0 START DATE: 03/01/2022 ADDRESS: 948 Portland Avenue, St. Paul MN 55104, United States DESCRIPTION: My wife and I would be the primary owners in the business venture. We wont' have any responsibilities in the operation of the business, but mayhelp with the initial build out when time permits.
CRS (Client Relationship Summary) - RIA
Click below to view Galen Mckay's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Galen Mckay'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 24, 2020 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #2: 600 Portland Ave S, Minneapolis, MN 55415RIA
BD
CRD#: 18387
Saint Paul, MN
Current
March 24, 2020 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 600 Portland Ave S, Minneapolis, MN 55415RIA
BD
CRD#: 18387
Minneapolis, MN
Past
January 2, 2013 - March 12, 2020
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
MINNEAPOLIS, MN
Past
May 29, 2012 - December 31, 2012
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
MINNEAPOLIS, MN
Past
May 12, 2010 - March 12, 2020
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Past
January 2, 2009 - May 12, 2010
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
BD
CRD#: 840
MINNEAPOLIS, MN
Past
November 28, 2006 - January 2, 2009
RIVERSOURCE DISTRIBUTORS, INC.
BD
CRD#: 139135
MINNEAPOLIS, MN
Past
June 22, 1999 - July 3, 2006
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
June 22, 1999 - December 31, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
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
Minnesota(3/24/2020)
IAR
Minnesota(3/24/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
