KG
Kathlene E. Garber
THRIVENT INVESTMENT MANAGEMENT
Park Ridge, IL
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CRD#: 3137691
KG
Professional summary
Kathlene Elizabeth Garber, who also goes by Kathlene Elizabeth Boris, Kathlene E Garber, is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Park Ridge, Illinois.
Kathlene is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Kathlene has worked at 4 firms and has passed the Series 66, SIE, Series 7 and Series 4 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kathlene Elizabeth Boris | Kathlene E Garber
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.
WATTS & ASSOCIATES POSITION: marketing NATURE: The company is a public speaking, consulting company. I get paid a commission for finding public speaking jobs. I socialize with others to find speaking jobs. I plan to take 5 hours a month outside of Thrivent hours. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 12/01/2016 ADDRESS: PO Box 0755, Clovis CA 93613, United States DESCRIPTION: creating marketing materials, prospecting for speaking jobs.
CRS (Client Relationship Summary) - RIA
Click below to view Kathlene Elizabeth Garber's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kathlene Elizabeth Garber'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
May 9, 2007 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #2: 1023 W Webster Ave, Chicago, IL 60614Office #3: 190 S Lasalle St, Chicago, IL 60603RIA
BD
CRD#: 18387
Park Ridge, IL
Current
May 9, 2007 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 1023 W Webster Ave, Chicago, IL 60614Office #2: 190 S Lasalle St, Chicago, IL 60603RIA
BD
CRD#: 18387
Chicago, IL
Past
October 12, 2006 - April 30, 2007
BROKERSXPRESS LLC
RIA
CRD#: 127081
CHICAGO, IL
Past
April 20, 2006 - April 30, 2007
BROKERSXPRESS LLC
BD
CRD#: 127081
CHICAGO, IL
Past
February 14, 2006 - March 30, 2006
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
CHICAGO, IL
Past
February 10, 2006 - March 30, 2006
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
CHICAGO, IL
Past
November 17, 2000 - June 14, 2004
PERFORMANCE TRUST CAPITAL PARTNERS, LLC
BD
CRD#: 36155
CHICAGO, IL
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(2/4/2021)
RR
Arizona(3/2/2009)
RR
California(9/22/2017)
RR
Colorado(8/10/2020)
RR
District of Columbia(6/8/2017)
IAR
District of Columbia(6/14/2017)
RR
Florida(2/16/2012)
RR
Illinois(5/9/2007)
IAR
Illinois(5/9/2007)
RR
Indiana(11/14/2018)
RR
Iowa(6/19/2018)
RR
Kansas(11/7/2017)
RR
Louisiana(11/10/2025)
RR
Massachusetts(2/4/2021)
RR
Michigan(8/10/2009)
RR
Minnesota(10/18/2023)
RR
Mississippi(11/7/2022)
RR
New Jersey(8/3/2020)
RR
New Mexico(7/8/2014)
RR
New York(8/3/2020)
RR
North Carolina(5/1/2024)
RR
Ohio(5/2/2024)
RR
South Dakota(6/26/2023)
RR
Texas(8/3/2020)
IAR
Texas(8/4/2020)
RR
Washington(2/26/2021)
RR
Wisconsin(1/27/2009)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
