TK
Troy F. Keesling
THRIVENT INVESTMENT MANAGEMENT
Fond du Lac, WI 54935
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CRD#: 3171931
TK
Professional summary
Troy Fredric Keesling is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Fond Du Lac, Wisconsin.
Troy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Troy has worked at 1 firm and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
JAKE'S DIAPERS POSITION: Board Member NATURE: Jake's diapers is a cloth diaper ministry, providing the basic need of cloth diapers to babies, children and adults in extreme poverty, whose caregivers have to choose between food and diapers. They ship diapers internationally as well as in the United States. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 12/11/2016 ADDRESS: 2396 Industrial Dr, Neenah WI 54956, United States DESCRIPTION: I will serve as a board member providing leadership and guidance to advance the mission of jake's Diapers. My duties consist of idea and brainstorming sessions, mission advancement, future direction guidance and strategic planning. I will also deliver suitcases of cloth diapers that have been prepared for transport to international destinations as well as domestic. JAKE'S NETWORK OF HOPE POSITION: Board Member NATURE: Jake's Network of Hope distributes hygiene products and essential daily living items to people of all ages. Through a network of partners, together meets various human needs; basic, emotional, social and educational. Our work allows every person a step up toward living healthy, feeling safe and experiencing self-worth so that individuals and communities thrive. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 12/11/2016 ADDRESS: 110 N Kensington Dr, Appleton WI 54915, United States DESCRIPTION: I will serve as a board member providing leadership and guidance to advance the mission of jake's. My duties consist of idea and brainstorming sessions, mission advancement, future direction guidance and strategic planning.
CRS (Client Relationship Summary) - RIA
Click below to view Troy Fredric Keesling's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Troy Fredric Keesling'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
February 1, 2005 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 1020 S Main St, Fond Du Lac, WI 54935RIA
BD
CRD#: 18387
Fond du Lac, WI
Current
January 19, 1999 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 1020 S Main St, Fond Du Lac, WI 54935RIA
BD
CRD#: 18387
Fond du Lac, WI
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(10/27/2022)
RR
Alaska(10/20/2022)
RR
Arizona(10/16/2023)
RR
Arkansas(10/20/2022)
RR
California(10/16/2023)
RR
Connecticut(10/16/2023)
RR
Florida(10/20/2022)
RR
Illinois(3/11/2021)
RR
Indiana(10/16/2023)
RR
Iowa(10/16/2023)
RR
Kansas(10/16/2023)
RR
Kentucky(10/20/2022)
RR
Maine(10/16/2023)
RR
Maryland(10/16/2023)
RR
Massachusetts(10/16/2023)
RR
Michigan(10/16/2023)
RR
Minnesota(10/20/2022)
RR
Montana(10/16/2023)
RR
North Carolina(10/16/2023)
RR
Pennsylvania(10/16/2023)
RR
South Carolina(10/16/2023)
RR
South Dakota(10/20/2022)
RR
Tennessee(7/11/2024)
RR
Texas(10/20/2022)
IAR
Texas(10/24/2022)
RR
Utah(10/16/2023)
RR
Virginia(10/16/2023)
RR
Washington(10/16/2023)
RR
Wisconsin(3/5/1999)
IAR
Wisconsin(2/1/2005)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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
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Company Information
THRIVENT INVESTMENT MANAGEMENT INC.
CRD#: 18387Fond Du Lac, WI 54935TRUST BUT VERIFY
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