AC
Aurora L. Carbaugh
THRIVENT INVESTMENT MANAGEMENT
Oshkosh, WI 54902
Some features on this profile are disabled
CRD#: 3180095
AC
Professional summary
Aurora Lee Carbaugh, who also goes by Rowlands Lee Aurora, Vanduyne Lee Aurora, Aurora Lee Carbough, Aurora Lee Rowlands, Rowlands Roree, Vanduyne Roree, Auora Lee Vanduyne, Aurora Lee Vanduyne, is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Oshkosh, Wisconsin.
Aurora is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Aurora has worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rowlands Lee Aurora | Vanduyne Lee Aurora | Aurora Lee Carbough | Aurora Lee Rowlands | Rowlands Roree | Vanduyne Roree | Auora Lee Vanduyne | Aurora Lee Vanduyne
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.
ISAAC CONDOMINIUM PROPERTY ASSOCIATION POSITION: Secretary NATURE: Homeowners association for 14 homeowners. President coordinates activities for the care of the external walls of the homes, roof, landscaping and snow removal. Treasurer pays the bills and provides a financial report at the annual meeting. Secretary records meeting minutes. Total time for Secretary position is 4 hours annually INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 05/23/2018 ADDRESS: 3326 Isaac Ln, Oshkosh WI 54902, United States DESCRIPTION: Secretary takes meeting minutes at the annual meeting. Minutes are approved by the President of the Association, James Englund. Copies of the meeting minutes are distributed to the 14 homeowners within the association.
CRS (Client Relationship Summary) - RIA
Click below to view Aurora Lee Carbaugh's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Aurora Lee Carbaugh'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
March 16, 2016 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 40 W 6th Ave, Oshkosh, WI 54902RIA
BD
CRD#: 18387
Oshkosh, WI
Current
March 14, 2016 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 40 W 6th Ave, Oshkosh, WI 54902RIA
BD
CRD#: 18387
Oshkosh, WI
Past
July 4, 2008 - December 11, 2014
CUNA BROKERAGE SERVICES, INC.
RIA
CRD#: 13941
APPLETON, WI
Past
June 4, 2008 - December 11, 2014
CUNA BROKERAGE SERVICES, INC.
BD
CRD#: 13941
APPLETON, WI
Past
March 30, 1999 - October 7, 1999
CAL FED INVESTMENTS
BD
CRD#: 19631
SACRAMENTO, CA
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
California(7/20/2018)
RR
Texas(8/12/2022)
IAR
Texas(8/15/2022)
RR
Wisconsin(3/14/2016)
IAR
Wisconsin(3/17/2016)
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 |
|---|---|---|
| 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.
