Kathy Heacock
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Kathy Heacock, who also goes by Kathy Lyn Heacock, Kathy Lynn Heacock, Kathy Lynn Morden, Morden, was a registered financial professional .
Kathy is a previously registered financial professional and started their career in finance in 1999. Kathy had worked at 6 firms and has passed the Series 66, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 1, 2013 - September 19, 2013
THRIVENT INVESTMENT MANAGEMENT INC.
June 21, 2013 - September 19, 2013
THRIVENT INVESTMENT MANAGEMENT INC.
May 26, 2010 - March 16, 2012
CHASE INVESTMENT SERVICES CORP.
April 12, 2010 - March 16, 2012
CHASE INVESTMENT SERVICES CORP.
October 5, 2009 - February 9, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
October 5, 2009 - February 9, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
March 20, 2009 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
September 19, 2008 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
February 1, 2007 - September 19, 2008
LASALLE FINANCIAL SERVICES, INC.
October 8, 2001 - January 16, 2007
LASALLE FINANCIAL SERVICES, INC.
September 28, 2000 - October 8, 2001
INDEPENDENCE ONE BROKERAGE SERVICES, INC.
November 11, 1999 - March 15, 2000
INDEPENDENCE ONE BROKERAGE SERVICES, INC.
Primary Firm SEC Registration
THRIVENT INVESTMENT MANAGEMENT INC.
CRD#: 18387 / SEC#: 801-29618, 8-36525
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
THRIVENT INVESTMENT MANAGEMENT INC.
CRD#: 18387 / SEC#: 801-29618, 8-36525
Contact information
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.
