CH
Christian F. Holgard
THRIVENT INVESTMENT MANAGEMENT
Lakewood, CO 80228
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CRD#: 3244256
CH
Professional summary
Christian Frank Holgard, ChFC®, CLU®, who also goes by Chris Holgard, is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Lakewood, Colorado.
Christian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Christian has worked at 2 firms 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
Chris Holgard
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.
LAKEWOOD CONNECTS POSITION: My duties on the board of Lakewood connects is to act as an advisor for the non-profit. The non-profit focuses on connecting faith communities, businesses, governmental agencies and schools. I was asked to serve as an advisor because of my connections to these communities. NATURE: Lakewood Connects is a non-profit that focuses on connecting the faith community, business community, governmental agencies and schools for the overall good of our community. INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 07/15/2018 ADDRESS: 11574 W Progress Pl, Littleton CO 80127, United States DESCRIPTION: Primary duties are to be an advisor for the director of the non-profit. We collaborate on ways in which he can connect to our community. I've been asked to specifically help with connecting to the business community. I will not be making the connections directly, only advising on the approach. Occasionally the non-profit hosts events with various schools, businesses, churches and governmental agencies. These events focus on action plans that were developed as a result of the work of the organization. Because of these events, I am asked to help serve as a volunteer to these service events.
CRS (Client Relationship Summary) - RIA
Click below to view Christian Frank Holgard's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Christian Frank Holgard'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®
Experience
Current
July 13, 2006 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 445 Union Blvd Ste 105, Lakewood, CO 80228RIA
BD
CRD#: 18387
Lakewood, CO
Current
July 1, 2002 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 445 Union Blvd Ste 105, Lakewood, CO 80228RIA
BD
CRD#: 18387
Lakewood, CO
Past
June 15, 1999 - July 1, 2002
LUTHERAN BROTHERHOOD SECURITIES CORP.
BD
CRD#: 4205
MINNEAPOLIS, 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
Arizona(8/30/2023)
RR
Colorado(7/1/2002)
IAR
Colorado(7/13/2006)
RR
Idaho(12/4/2023)
RR
Illinois(12/13/2023)
RR
Michigan(2/22/2022)
RR
Minnesota(5/29/2018)
RR
North Dakota(1/30/2008)
RR
Ohio(1/8/2021)
RR
Tennessee(9/28/2021)
IAR
Texas(4/9/2012)
RR
Texas(4/11/2012)
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
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.
