AW
Anne J. Whiting
THRIVENT INVESTMENT MANAGEMENT
Chicago, IL
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CRD#: 3264149
AW
Professional summary
Anne J Whiting, who also goes by Anne Jennings Cody, Anne Cody, Anne Jennings Whiting, is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Chicago, Illinois.
Anne is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Anne has worked at 6 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7 and Series 55 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Anne Jennings Cody | Anne Cody | Anne Jennings Whiting
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.
CRS (Client Relationship Summary) - RIA
Click below to view Anne J Whiting's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Anne J Whiting'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 20, 2023 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #2: 190 S Lasalle St, Chicago, IL 60603RIA
BD
CRD#: 18387
Chicago, IL
Current
May 18, 2023 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 190 S Lasalle St, Chicago, IL 60603RIA
BD
CRD#: 18387
Chicago, IL
Past
May 4, 2017 - November 20, 2019
CHURCHILL CAPITAL USA, INC.
BD
CRD#: 143278
Evanston, IL
Past
January 19, 2005 - December 31, 2008
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
NEW YORK, NY
Past
April 12, 2001 - December 17, 2004
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
May 16, 2000 - March 13, 2001
CLEARY GULL INC.
BD
CRD#: 45309
MILWAUKEE, WI
Past
August 11, 1999 - April 17, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
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(11/7/2023)
RR
Arizona(9/13/2023)
RR
California(8/16/2023)
RR
Colorado(9/7/2023)
RR
District of Columbia(9/30/2025)
IAR
District of Columbia(10/6/2025)
RR
Florida(8/16/2023)
RR
Georgia(8/17/2023)
IAR
Illinois(6/20/2023)
RR
Illinois(6/21/2023)
RR
Indiana(9/5/2023)
RR
Iowa(9/1/2023)
RR
Kentucky(6/27/2025)
RR
Louisiana(7/8/2025)
RR
Maryland(9/29/2025)
RR
Massachusetts(9/6/2023)
RR
Michigan(12/15/2023)
RR
Minnesota(7/11/2023)
RR
Missouri(9/19/2024)
RR
New Mexico(7/25/2024)
RR
New York(9/26/2023)
RR
North Carolina(12/11/2023)
RR
Ohio(9/26/2023)
RR
Oklahoma(2/24/2025)
IAR
Oklahoma(2/24/2025)
RR
Oregon(10/9/2023)
RR
Pennsylvania(9/30/2025)
RR
South Carolina(3/26/2024)
RR
Tennessee(10/4/2023)
RR
Texas(9/15/2023)
IAR
Texas(9/15/2023)
RR
Virginia(10/13/2023)
RR
Wisconsin(7/11/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 5/18/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 11/16/2000
Limited Representative-Equity Trader ExamSRO 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 |
|---|---|---|
| 01/22/2026 | ||
| 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.
