Andrew W. Gerling
THRIVENT INVESTMENT MANAGEMENT
Golden Valley, MN 55416
Some features on this profile are disabled
CRD#: 4212639
Professional summary
Andrew Wendell Gerling, CFP®, ChFC®, CLU® is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Golden Valley, Minnesota.
Andrew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Andrew has worked at 2 firms 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.
AQUAVENTURE DIVE AND PHOTO CENTER POSITION: Scuba Diving Instructor NATURE: Teach SCUBA diving lessons and lead groups on SCUBA diving trips. SCUBA instruction is only done on the weekends about 5-6 times per year. I also lead a group of divers on a week long trip once per year. INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2008 ADDRESS: 10024 County Rd 81, Maple Grove MN 55369 DESCRIPTION: Teach beginner through advanced SCUBA diving to students of the dive shop. I also act as a group leader for a travel group, organized throught the dive shop, on a trip once per year for a week. GOLDEN VALLEY FIRE DEPARTMENT POSITION: On-Call Firefighter NATURE: Paid, On-Call firefighter for the City of Golden Valley. My on-call hours are Monday through Friday 6AM to 6PM. I must attend 33% of the fire calls during these hours, measured annually. INVESTMENT RELATED: No NUMBER OF HOURS: 50 SECURITIES TRADING HOURS: 25 START DATE: 01/12/2009 ADDRESS: 7800 Golden Valley Rd, Golden Valley MN 55427 DESCRIPTION: My duties include responding to fire calls, car accidents, medical calls, and public education events to school children and adults at schools and businesses in Golden Valley. I carry a pager to work and when a call goes out, I respond from work directly to the fire station, across the street from my office, board a fire vehicle and respond to the calls. I also have one weekend shift every 8 weeks where I am on duty at the station from 12:01AM Saturday until 6:30PM on Sunday. During this time I must remain in the City of Golden Valley and be able to respond to 100% of the calls. Additionally, we have training every Wednesday morning from 9 until noon. DUCKS UNLIMITED - LAKE MINNETONKA CHAPTER POSITION: Prize Chairman NATURE: Our chapter holds an annual banquet to raise money for Ducks Unlimited which is a 501(c)3 organiztion. During the annual banquet raffle tickets are sold for prizes provided by Ducks Unlimited's nation office. 100% of the funds raised, after paying for food/drink at the event is then sent to DUs headquaters. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2012 ADDRESS: 1 Waterfowl Way, Memphis TN 38120 DESCRIPTION: Total time of about 20 hours occurs in the first quarter of each year in preparation for the annual banquet. I have no involvement with the financial business of the chapter. I simple select the prizes for the banquet from a catalog and warehouse the prizes at my house until the event which is typically in April of each year. I also assist with the set up and planning of the acutal event. ADVENTURE SEAPLANES POSITION: Pilot NATURE: Adventure Seaplanes owns a fleet of seaplanes that are used of seaplane flight instruction and scenic air tours. I will act as pilot in command of seaplanes for paying passengers on scenic flights. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 02/26/2022 ADDRESS: 5800 Hoodoo Point Rd, Tower MN 55790, United States DESCRIPTION: Fly a seaplane for paying passengers as the sole pilot on board.
CRS (Client Relationship Summary) - RIA
Click below to view Andrew Wendell Gerling's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Andrew Wendell Gerling'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: 2010
Experience
Current
November 18, 2013 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 701 Xenia Ave. S. Suite 550, Golden Valley, MN 55416RIA
BD
CRD#: 18387
Golden Valley, MN
Current
June 24, 2009 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 701 Xenia Ave. S. Suite 550, Golden Valley, MN 55416RIA
BD
CRD#: 18387
Golden Valley, MN
Past
May 16, 2007 - December 31, 2007
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
CRD#: 18387
GOLDEN VALLEY, MN
Past
July 1, 2002 - June 17, 2009
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
GOLDEN VALLEY, MN
Past
June 30, 2000 - 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(3/1/2013)
RR
California(2/13/2023)
RR
Florida(10/14/2011)
RR
Iowa(3/8/2023)
RR
Louisiana(3/7/2023)
RR
Maryland(1/10/2024)
RR
Minnesota(6/24/2009)
IAR
Minnesota(11/18/2013)
RR
Montana(2/9/2021)
RR
Nevada(7/29/2020)
RR
New Jersey(5/15/2023)
RR
New Mexico(8/21/2025)
RR
North Carolina(7/18/2014)
RR
Oklahoma(6/27/2022)
IAR
Oklahoma(6/27/2022)
RR
South Dakota(6/4/2024)
RR
Tennessee(3/12/2025)
RR
Texas(4/22/2022)
IAR
Texas(4/22/2022)
RR
Utah(5/12/2022)
RR
Virginia(9/19/2023)
RR
Wisconsin(10/13/2011)
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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
