William H. Maicon

THRIVENT INVESTMENT MANAGEMENT

Jacksonville, FL 32256

Some features on this profile are disabled

CRD#: 317413

Professional summary

William Henry Maicon, who also goes by Bill Maicon, William H Maicon, is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Jacksonville, Florida.

William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1973. William has worked at 16 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 55, Series 5, Series 1 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Bill Maicon | William H Maicon

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Henry Maicon's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view William Henry Maicon's CRS (Customer Relationship Summary).

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®

None

Experience

Current

January 26, 2021 - Present

THRIVENT INVESTMENT MANAGEMENT INC.

Office #1: 4887 Belfort Rd, Jacksonville, FL 32256

RIA

CRD#: 18387

Jacksonville, FL

Current

June 30, 2020 - Present

THRIVENT INVESTMENT MANAGEMENT INC.

Office #1: 4887 Belfort Rd, Jacksonville, FL 32256

RIA

CRD#: 18387

Jacksonville, FL

Past

August 17, 2018 - November 16, 2018

MWA FINANCIAL SERVICES INC.

CRD#: 112630

Palm Coast, FL

Past

June 20, 2016 - August 30, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

WHITE PLAINS, NY

Past

June 20, 2016 - August 30, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

WHITE PLAINS, NY

Past

April 27, 2016 - June 22, 2016

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

STAMFORD, CT

Past

April 27, 2016 - June 22, 2016

EQUITABLE ADVISORS, LLC

CRD#: 6627

STAMFORD, CT

Past

September 8, 2015 - October 8, 2015

EDWARD JONES

RIA

CRD#: 250

PALM COAST, FL

Past

June 29, 2015 - October 8, 2015

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

Past

February 11, 2015 - April 8, 2015

MAXIM GROUP LLC

CRD#: 120708

NEW YORK, NY

Past

August 26, 2014 - September 18, 2014

VANDHAM SECURITIES CORP.

CRD#: 26258

PARK RIDGE, NJ

Past

September 5, 2006 - August 14, 2014

VANDHAM SECURITIES CORP.

CRD#: 26258

WOODCLIFF LAKE, NJ

Past

March 8, 2006 - August 24, 2006

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

November 14, 2002 - January 21, 2005

VANDHAM SECURITIES CORP.

CRD#: 26258

PARK RIDGE, NJ

Past

March 12, 2001 - November 22, 2002

KBC SECURITIES USA LLC

CRD#: 46709

NEW YORK, NY

Past

July 2, 1996 - March 9, 2001

ABN AMRO SECURITIES LLC

CRD#: 6540

NEW YORK, NY

Past

September 11, 1992 - June 10, 1996

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

June 14, 1990 - September 8, 1992

LIT AMERICA, INC.

CRD#: 22381

CHICAGO, IL

Past

October 28, 1987 - May 8, 1990

SBC WARBURG DILLON READ INC.

CRD#: 1650

STAMFORD, CT

Past

May 30, 1986 - September 29, 1987

JOHNSON, LANE, SPACE, SMITH & CO., INC.

CRD#: 472

Past

May 30, 1985 - May 28, 1986

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

Past

July 6, 1981 - June 3, 1985

E. F. HUTTON & COMPANY INC

CRD#: 235

Past

September 12, 1978 - July 29, 1981

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

Past

July 2, 1973 - September 26, 1978

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

CRD#: 572

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".

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)

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.

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

Florida
(6/30/2020)

IAR

Florida
(1/26/2021)

Georgia
(8/20/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/22/2021

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/29/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 7/28/2006

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 5

Date: 10/31/1981

Interest Rate Options Examination

General Industry/Product Exam

Series 1

Date: 6/25/1973

Registered Representative Examination

Principal/Supervisory Exam

Series 4

Date: 2/1/1979

Registered Options Principal Examination

SRO Registrations

FINRA

Current Firm

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)

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

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

THRIVENT INVESTMENT MANAGEMENT INC. ADVISORFLEX MANAGED VARIABLE ANNUITY PROGRAM (6/30/2025)

THRIVENT INVESTMENT MANAGEMENT INC MANAGED ACCOUNTS PROGRAM (6/30/2025)

THRIVENT INVESTMENT MANAGEMENT INC. DEDICATED PLANNING SERVICES (6/30/2025)

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

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/21/2024	Cover Page	Report
01/25/2024	Cover Page	Report

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.

Similar Advisors

Andreas Heinrich

LPL ENTERPRISE, LLC

IAR

Jacksonville, FL

Michael Mcalpin

INTELLICAPITAL ADVISORS LLC

IAR

PONTE VEDRA, FL

Troy Davis

DAVIS CAPITAL MANAGEMENT

IAR

JACKSONVILLE, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

William H. Maicon

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Henry Maicon's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view William Henry Maicon's CRS (Customer Relationship Summary).

Certified licenses

Experience

THRIVENT INVESTMENT MANAGEMENT INC.

MWA FINANCIAL SERVICES INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

EDWARD JONES

EDWARD JONES

MAXIM GROUP LLC

VANDHAM SECURITIES CORP.

VANDHAM SECURITIES CORP.

PRUDENTIAL EQUITY GROUP, LLC

VANDHAM SECURITIES CORP.

KBC SECURITIES USA LLC

ABN AMRO SECURITIES LLC

CIBC WORLD MARKETS CORP.

LIT AMERICA, INC.

SBC WARBURG DILLON READ INC.

JOHNSON, LANE, SPACE, SMITH & CO., INC.

PRUDENTIAL EQUITY GROUP, LLC

E. F. HUTTON & COMPANY INC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

Primary Firm SEC Registration

THRIVENT INVESTMENT MANAGEMENT INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 1/22/2021

Series 63

Date: 8/29/1986

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 7/28/2006

Series 5

Date: 10/31/1981

Series 1

Date: 6/25/1973

Series 4

Date: 2/1/1979

FINRA

Current Firm

THRIVENT INVESTMENT MANAGEMENT INC.

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

THRIVENT INVESTMENT MANAGEMENT INC.

TRUST BUT VERIFY

Similar Advisors