SP
Susan M. Powell
THRIVENT INVESTMENT MANAGEMENT
APPLETON, WI 54919-0001
Some features on this profile are disabled
CRD#: 4130336
SP
Professional summary
Susan M Powell, who also goes by Sue Clough, Susan M Clough, Susan Marie Clough, Susan Marie Powell, is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Appleton, Wisconsin.
Susan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Susan has worked at 10 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 51, Series 10, Series 9 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Sue Clough | Susan M Clough | Susan Marie Clough | Susan Marie Powell
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.
SHIPT POSITION: Driver NATURE: pick up and delivery packages and groceries INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 07/28/2024 ADDRESS: 44 Montgomery Street, San Francisco CA 94104, United States DESCRIPTION: pick up and delivery packages and groceries AMAZON FLEX POSITION: Driver NATURE: deliver Amazon packages to customers INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 03/01/2025 ADDRESS: 410 Terry Ave N, Seattle WA 98109, United States DESCRIPTION: I will deliver Amazon packages to customers on a flexible schedule/basis. I choose my schedule. RENTAL PROPERTY POSITION: Part owner NATURE: My dad and aunt/uncle have owned this cottage since the 70s. In September, my dad gifted me his portion of the cottage. My aunt rents out the cottage when family is not using it. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 09/14/2025 ADDRESS: 5832 Oswego Fishtrap Lake Rd, Boulder Junction WI 54512, United States DESCRIPTION: I do not have any duties. My Aunt takes care of renting and cleaning the cottage.
CRS (Client Relationship Summary) - RIA
Click below to view Susan M Powell's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Susan M Powell'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
November 11, 2015 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 4321 N Ballard Rd, Appleton, WI 54919-0001RIA
BD
CRD#: 18387
APPLETON, WI
Current
November 10, 2015 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 4321 N Ballard Rd, Appleton, WI 54919-0001RIA
BD
CRD#: 18387
APPLETON, WI
Past
October 22, 2014 - November 2, 2015
SII INVESTMENTS, INC.
RIA
CRD#: 2225
APPLETON, WI
Past
October 22, 2014 - November 2, 2015
SII INVESTMENTS, INC.
BD
CRD#: 2225
APPLETON, WI
Past
October 21, 2013 - October 20, 2014
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
OSHKOSH, WI
Past
October 9, 2013 - October 20, 2014
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
OSHKOSH, WI
Past
June 28, 2013 - October 15, 2013
MORGAN STANLEY
BD
CRD#: 149777
MINNEAPOLIS, MN
Past
November 13, 2012 - June 17, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
ST. PAUL, MN
Past
November 12, 2012 - June 17, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
ST. PAUL, MN
Past
October 29, 2010 - November 6, 2012
MORGAN STANLEY
RIA
CRD#: 149777
FORT WALTON BEACH, FL
Past
October 28, 2010 - November 6, 2012
MORGAN STANLEY
BD
CRD#: 149777
FORT WALTON BEACH, FL
Past
June 1, 2009 - January 12, 2010
MORGAN STANLEY
RIA
CRD#: 149777
GAINESVILLE, FL
Past
June 1, 2009 - January 12, 2010
MORGAN STANLEY
BD
CRD#: 149777
GAINESVILLE, FL
Past
September 9, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
GAINESVILLE, FL
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
GAINESVILLE, FL
Past
May 5, 2005 - April 2, 2007
MORGAN STANLEY DW INC.
BD
CRD#: 7556
GAINESVILLE, FL
Past
December 2, 2003 - April 28, 2005
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
LOS ANGELES, CA
Past
December 11, 2001 - April 28, 2005
INVESTMENT CENTERS OF AMERICA, INC.
BD
CRD#: 16443
APPLETON, WI
Past
May 22, 2001 - April 28, 2005
SII INVESTMENTS, INC.
BD
CRD#: 2225
APPLETON, WI
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
Wisconsin(11/11/2015)
IAR
Wisconsin(11/11/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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)
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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.
Company Information
THRIVENT INVESTMENT MANAGEMENT INC.
CRD#: 18387Appleton, WI 54919-0001TRUST BUT VERIFY
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