BS
Barry A. Springborn
THRIVENT INVESTMENT MANAGEMENT
Cambridge, MN
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CRD#: 3221671
BS
Professional summary
Barry Alan Springborn, CFP® is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Cambridge, Minnesota.
Barry is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Barry has worked at 1 firm and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 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.
BARY AND GRACE SPRINGBORN FARM POSITION: Sole Proprietorship NATURE: Farm corn for feedFeed beef steers INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2013 ADDRESS: 3679 Hwy 95 NW, Cambridge MN 55008, United States DESCRIPTION: I manage the farm.plant and harvest cornfeed steers CHRIST LUTHERAN CHURCH POSITION: Committee member NATURE: Christ Lutheran is a Lutheran church with a Early Learning Center. The center offers year round education and childcare for Children 3-5 yrs old INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2025 ADDRESS: 32962 Vickers St NE, Cambridge MN 55008, United States DESCRIPTION: attend 1 meeting per month, I am a member of the Board of Education for the church we help oversee the Early Learning center of the church. The Board is constructed as a consultant for the church. the Board has no decision making authority. they haveno access to finances. there is a separate Board that runs the finances. the is very little time spent during the security trading hours foro this committee. maybe 5 hrs per year .
CRS (Client Relationship Summary) - RIA
Click below to view Barry Alan Springborn's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Barry Alan Springborn'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®
CFP®
Start date: 2006
Experience
Current
November 18, 2013 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #2: 145 2nd Ave Sw, Cambridge, MN 55008Office #3: 939 Old Hwy 8 Nw, New Brighton, MN 55112RIA
BD
CRD#: 18387
Cambridge, MN
Current
May 11, 1999 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 145 2nd Ave Sw, Cambridge, MN 55008Office #2: 939 Old Hwy 8 Nw, New Brighton, MN 55112RIA
BD
CRD#: 18387
Cambridge, MN
Past
February 16, 2006 - December 31, 2007
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
CRD#: 18387
HAM LAKE, MN
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(9/25/2020)
RR
Alaska(4/3/2003)
RR
Arkansas(2/27/2025)
RR
Colorado(2/8/2018)
RR
District of Columbia(9/12/2023)
IAR
District of Columbia(9/18/2023)
RR
Florida(3/6/2009)
RR
Georgia(4/20/2022)
RR
Illinois(9/25/2023)
RR
Indiana(5/18/2020)
RR
Iowa(2/27/2025)
RR
Michigan(6/30/2021)
RR
Minnesota(5/13/1999)
IAR
Minnesota(11/18/2013)
RR
Nebraska(11/13/2015)
RR
North Carolina(6/30/2021)
RR
Ohio(6/28/2022)
RR
Rhode Island(5/19/2023)
RR
South Carolina(11/6/2020)
RR
South Dakota(1/13/2015)
RR
Texas(1/14/2014)
IAR
Texas(1/14/2014)
RR
Washington(6/30/2021)
RR
Wisconsin(6/25/2001)
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.
