CB
Curtis D. Baumgard
THRIVENT INVESTMENT MANAGEMENT
LAKEFIELD, MN 56150
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CRD#: 3050508
CB
Curtis Dale BaumgardTHRIVENT INVESTMENT MANAGEMENT
Professional summary
Curtis Dale Baumgard, CFP®, CLU® is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Lakefield, Minnesota.
Curtis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Curtis has worked at 1 firm and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Aliases
None
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.
JACKSON COUNTY DEVELOPMENTAL ACHIEVEMENT CENTER (DAC) POSITION: Board member NATURE: The Jackson County DAC provides community integration, social and emotional support, and occupational opportunities to the people (individuals) that are served by the DAC. INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2018 ADDRESS: 304 2nd Ave, Lakefield MN 56150, United States DESCRIPTION: As a board member, I will be working with other board members, along with the Executive Director. The Board of Directors review the yearly budget each fiscal year; appoints and the employs the Executive Director; fix salaries and wage of staff: Board of directors has the power to rent , purchase, construct or obtain accommodations for the operation of the center, authorize purchase of needed equipment. CURTIS BAUMGARD POSITION: Operator and Owner NATURE: Farming crops, corn and soybeans INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 04/01/1982 ADDRESS: 34932 810th St, Brewster MN 56119, United States DESCRIPTION: Purchase inputs, marketing , plant, nurture and harvest crop. 210 hours spent per season. ST PAUL LUTHERAN CHURCH POSITION: Chairman of congregation NATURE: Church - Religious Organization. Not for profit. INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 02/01/2025 ADDRESS: 38886 800th St, Lakefield MN 56150, United States DESCRIPTION: Summary of the duties of Chairman is to set up and conduct the quarterly and annual meeting. Help finance board to count money each month. Attend elders meetings, help in setting Pastor salary. Fill in when an elder is missing for a church service. BLUE CROSS AND BLUE SHIELD OF MINNESOTA POSITION: Independent Agent NATURE: Individual Health insurance products offered in Minnesota; Individual Medicare Insurance products such as Medicare Supplement, Medicare Advantage and Prescription Drug Plans offered in Minnesota INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 20 START DATE: 06/01/2006 ADDRESS: P O Box 64560, St Paul MN 55164, United States DESCRIPTION: Meet with BCBS existing clients and prospects who contact me on choices for Medicare Insurance between Medicare Supplement, Medicare Advantage, and Prescription Drug Plans. Assist them in choosing the best plan for them based on their preferred provider and/or their prescription drugs they take. Help them enroll in the appropriate plan with paper enrollment and/or electronic enrollment
CRS (Client Relationship Summary) - RIA
Click below to view Curtis Dale Baumgard's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Curtis Dale Baumgard'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®
CFP®
Start date: 2012
Experience
Current
November 18, 2013 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 311 Main St, Lakefield, MN 56150RIA
BD
CRD#: 18387
LAKEFIELD, MN
Current
May 12, 1998 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 311 Main St, Lakefield, MN 56150RIA
BD
CRD#: 18387
LAKEFIELD, 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
Arizona(9/14/2022)
RR
Iowa(4/6/1999)
RR
Minnesota(6/2/1998)
IAR
Minnesota(11/18/2013)
RR
South Dakota(4/20/2005)
RR
Wisconsin(1/16/2024)
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 |
|---|---|---|
| 01/22/2026 | ||
| 10/21/2024 | ||
| 01/25/2024 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
THRIVENT INVESTMENT MANAGEMENT INC.
CRD#: 18387Lakefield, MN 56150TRUST BUT VERIFY
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