SR
Scott M. Rose
THRIVENT INVESTMENT MANAGEMENT
Parker, CO
Some features on this profile are disabled
CRD#: 3198574
SR
Professional summary
Scott Matthew Rose, who also goes by Scott M Rose, Scott Matthew Rose, Scott Rose, is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Parker, Colorado.
Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Scott has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 4, Series 51 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Scott M Rose | Scott Matthew Rose | Scott Rose
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.
SUMMIT BUSINESS ADVISORS LLC POSITION: President - single member/manager NATURE: LLC will stay in place but will not be used. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 05/22/2019 ADDRESS: 5167 Moonlight Way, Parker CO 80134, United States DESCRIPTION: Potential future activities; 1. Business operations and consulting. 2. Executive functions 3. Coaching and mentoring
CRS (Client Relationship Summary) - RIA
Click below to view Scott Matthew Rose's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Scott Matthew Rose'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
June 6, 2019 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #2: 701 Xenia Ave. S. Suite 550, Golden Valley, MN 55416Office #3: 9250 E Costilla Ave, Greenwood Village, CO 80112RIA
BD
CRD#: 18387
Parker, CO
Current
June 6, 2019 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 701 Xenia Ave. S. Suite 550, Golden Valley, MN 55416Office #2: 9250 E Costilla Ave, Greenwood Village, CO 80112RIA
BD
CRD#: 18387
Golden Valley, MN
Past
October 10, 2017 - May 31, 2019
SILVERHAWK ASSET MANAGEMENT, LLC
RIA
CRD#: 167798
SCOTTSDALE, AZ
Past
April 7, 2017 - June 21, 2017
INDEPENDENT FINANCIAL GROUP, LLC
BD
CRD#: 7717
Englewood, CO
Past
April 6, 2017 - June 21, 2017
INDEPENDENT FINANCIAL GROUP, LLC
RIA
CRD#: 7717
Englewood, CO
Past
April 21, 2008 - May 31, 2016
WADDELL & REED
RIA
CRD#: 866
DENVER, CO
Past
April 18, 2008 - May 31, 2016
WADDELL & REED
BD
CRD#: 866
DENVER, CO
Past
March 28, 2008 - April 21, 2008
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
SCOTTSDALE, AZ
Past
March 28, 2008 - April 21, 2008
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
SCOTTSDALE, AZ
Past
October 6, 2006 - March 19, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
SCOTTSDALE, AZ
Past
April 22, 1999 - January 23, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
SCOTTSDALE, AZ
Past
April 5, 1999 - July 3, 2006
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
April 5, 1999 - March 19, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
SCOTTSDALE, 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(6/27/2019)
RR
Alaska(6/27/2019)
RR
Arizona(6/27/2019)
RR
Arkansas(6/29/2021)
RR
California(6/27/2019)
RR
Colorado(6/6/2019)
IAR
Colorado(6/6/2019)
RR
Connecticut(6/27/2019)
RR
Delaware(6/29/2021)
RR
District of Columbia(6/27/2019)
IAR
District of Columbia(7/23/2019)
RR
Florida(6/27/2019)
RR
Georgia(6/27/2019)
RR
Hawaii(6/27/2019)
RR
Idaho(6/27/2019)
RR
Illinois(6/28/2019)
RR
Indiana(6/27/2019)
RR
Iowa(6/27/2019)
RR
Kansas(6/27/2019)
RR
Kentucky(6/27/2019)
RR
Louisiana(6/27/2019)
RR
Maine(6/29/2021)
RR
Maryland(6/27/2019)
RR
Massachusetts(6/27/2019)
RR
Michigan(6/27/2019)
RR
Minnesota(6/27/2019)
IAR
Minnesota(10/4/2022)
RR
Mississippi(8/20/2019)
RR
Missouri(6/27/2019)
RR
Montana(6/27/2019)
RR
Nebraska(6/27/2019)
RR
Nevada(6/27/2019)
RR
New Hampshire(7/31/2019)
RR
New Jersey(6/27/2019)
RR
New Mexico(6/27/2019)
RR
New York(6/27/2019)
RR
North Carolina(6/27/2019)
RR
North Dakota(6/27/2019)
RR
Ohio(6/27/2019)
RR
Oklahoma(6/27/2019)
IAR
Oklahoma(6/28/2019)
RR
Oregon(6/27/2019)
RR
Pennsylvania(6/27/2019)
RR
Rhode Island(6/27/2019)
RR
South Carolina(6/27/2019)
RR
South Dakota(6/27/2019)
RR
Tennessee(6/27/2019)
RR
Texas(6/27/2019)
IAR
Texas(6/28/2019)
RR
Utah(6/27/2019)
RR
Vermont(6/29/2021)
RR
Virginia(6/27/2019)
RR
Washington(6/27/2019)
RR
West Virginia(6/27/2019)
RR
Wisconsin(6/27/2019)
RR
Wyoming(6/27/2019)
Exams
State Security Law Exam
State Security Law 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)
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
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.
