VD
Vlasta Duffy
THRIVENT INVESTMENT MANAGEMENT
SCOTTSDALE, AZ
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CRD#: 3105466
VD
Professional summary
Vlasta Duffy, who also goes by Vlasta IVana Duffy, Vlasta I Duffy, Vlasta Mrkela, Vlasta I Mrkela, is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Scottsdale, Arizona.
Vlasta is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Vlasta has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 24, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Vlasta Ivana Duffy | Vlasta I Duffy | Vlasta Mrkela | Vlasta I Mrkela
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.
SKI DOGS LLC POSITION: Owner NATURE: Rental property INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2010 ADDRESS: 12493 N 116th St., Scottsdale AZ 85259, United States DESCRIPTION: Communicate with property manager as needed. DUFFY GROUP AZ LLC POSITION: Owner NATURE: LLC was established in 2007 as a DBA when I was a Managing Partner with Northwestern Mutual. There is is no activity in this OBA other than receiving payments from a business buyout. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2007 ADDRESS: 12493 N 116th St., Scottsdale AZ 85259, United States DESCRIPTION: None other than receiving payments from the buyout.
CRS (Client Relationship Summary) - RIA
Click below to view Vlasta Duffy's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Vlasta Duffy'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
December 20, 2021 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #3: 14850 N Scottsdale Rd, Suite 395, Scottsdale, AZ 85254RIA
BD
CRD#: 18387
SCOTTSDALE, AZ
Current
December 9, 2021 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 14850 N Scottsdale Rd, Suite 395, Scottsdale, AZ 85254RIA
BD
CRD#: 18387
Scottsdale, AZ
Past
April 29, 2020 - December 8, 2021
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
BD
CRD#: 611
OMAHA, NE
Past
February 2, 2018 - June 27, 2018
EQUITY SERVICES, INC.
BD
CRD#: 265
SCOTTSDALE, AZ
Past
October 7, 2010 - September 8, 2017
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
SCOTTSDALE, AZ
Past
June 7, 2010 - September 8, 2017
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SCOTTSDALE, AZ
Past
July 13, 2005 - February 8, 2010
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
RIA
CRD#: 2881
PHOENIX, AZ
Past
August 20, 1998 - January 1, 2002
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
MILWAUKEE, WI
Past
August 20, 1998 - February 8, 2010
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
PHOENIX, AZ
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
Alabama(7/24/2024)
RR
Alaska(1/7/2022)
RR
Arizona(12/10/2021)
IAR
Arizona(12/20/2021)
RR
Arkansas(1/7/2022)
RR
California(1/7/2022)
RR
Colorado(1/7/2022)
RR
Connecticut(8/21/2025)
RR
District of Columbia(1/7/2022)
IAR
District of Columbia(1/24/2022)
RR
Florida(1/7/2022)
RR
Georgia(1/7/2022)
RR
Hawaii(1/7/2022)
RR
Idaho(1/7/2022)
RR
Illinois(1/7/2022)
RR
Indiana(1/7/2022)
RR
Iowa(1/7/2022)
RR
Kansas(1/7/2022)
RR
Kentucky(1/7/2022)
RR
Louisiana(9/10/2025)
RR
Maryland(1/7/2022)
RR
Massachusetts(10/10/2023)
RR
Michigan(1/7/2022)
RR
Minnesota(1/7/2022)
RR
Mississippi(7/24/2024)
RR
Missouri(1/7/2022)
RR
Montana(1/7/2022)
RR
Nebraska(1/7/2022)
RR
Nevada(1/7/2022)
RR
New Hampshire(1/7/2022)
RR
New Jersey(1/7/2022)
RR
New Mexico(1/7/2022)
RR
New York(1/7/2022)
RR
North Carolina(1/19/2022)
RR
North Dakota(10/19/2023)
RR
Ohio(1/7/2022)
RR
Oklahoma(1/20/2023)
IAR
Oklahoma(1/20/2023)
RR
Oregon(1/7/2022)
RR
Pennsylvania(1/7/2022)
RR
South Carolina(1/7/2022)
RR
South Dakota(12/4/2023)
RR
Tennessee(1/7/2022)
RR
Texas(1/7/2022)
IAR
Texas(1/7/2022)
RR
Utah(1/7/2022)
RR
Vermont(9/19/2025)
RR
Virginia(1/7/2022)
RR
Washington(1/7/2022)
RR
Wisconsin(1/7/2022)
RR
Wyoming(1/7/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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)
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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.
