JT
James E. Tobias
THRIVENT INVESTMENT MANAGEMENT
Warrenton, VA 20186
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CRD#: 4231573
JT
Professional summary
James Everett Tobias, who also goes by James E Tobias, is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Warrenton, Virginia.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. James has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James E Tobias
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.
LIBERTY RUN HOA POSITION: Board Member NATURE: The HOA is in charge of representing the community members and working to bring the community together. The Board is comprised of up to 7 individuals and a management company which actually oversees the day to day operations of the community. The Board itself is primarily tasked with voting on home improvements, modifications, community contracts (just trash and lawn service) INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2025 ADDRESS: 25 Catoctin Cir, Suite 1631, Leesburg VA 20177, United States DESCRIPTION: Attend meetings, hear management reports, represent neighbors at the meetings and bring feedback back to the community. LIBERTY HIGH SCHOOL BOOSTERS POSITION: Vice president NATURE: The Boosters club is a group of parents of athletes and club members at the school who work with the school to support the athletic and social clubs by raising awareness, staffing the concession stands and helping the groups promote good teamwork and fellowship. The Boosters give all funds they raise back to the school's Director of Student Activities for use to support the sports and social clubs. INVESTMENT RELATED: No NUMBER OF HOURS: 6 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2025 ADDRESS: 6300 Independence Dr, Bealeton VA 22712, United States DESCRIPTION: The VP assists the President with organizing the meetings monthly, securing volunteers to operate the concessions, recruiting coaches and club mentors to solicit student involvement which looks good on college applications and attends meetings with school administration periodically to assess best practices and goals. GREAT CREEK HUNT CLUB POSITION: Treasurer/Secretary NATURE: Organization is a social club for hunting and fishing and other outdoor activities. Members pay dues to cover leasing of land and to pay minimal bills for hunting lodge. Organization is not for profit and all collected dues and fund raising monies are used to support the leasing costs, upkeep costs, etc. for the club. Club has a rule that all checks must be approved by the Board of Directors and signed off by 2 Board members. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 04/09/2022 ADDRESS: 3055 Woodsdale Rd, Alberta VA 23821, United States DESCRIPTION: As secretary, I take meeting notes, publish meeting notes via email to club members and help with collecting of lease signatures.As treasurer, I ensure members pay their dues on time, I collect checks for deposit, I write checks to pay taxes, utility bills and to pay leases.
CRS (Client Relationship Summary) - RIA
Click below to view James Everett Tobias's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Everett Tobias'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
February 1, 2016 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 205 Keith Street, Warrenton, VA 20186RIA
BD
CRD#: 18387
Warrenton, VA
Current
February 2, 2016 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 205 Keith Street, Warrenton, VA 20186RIA
BD
CRD#: 18387
Warrenton, VA
Past
October 28, 2013 - November 25, 2015
TRUIST INVESTMENT SERVICES, INC.
RIA
CRD#: 17499
CHANTILLY, VA
Past
October 28, 2013 - November 25, 2015
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
CHANTILLY, VA
Past
February 19, 2009 - October 22, 2013
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
GAINESVILLE, VA
Past
February 19, 2009 - October 22, 2013
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
GAINESVILLE, VA
Past
November 30, 2007 - January 27, 2009
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
VIENNA, VA
Past
November 30, 2007 - January 27, 2009
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
VIENNA, VA
Past
May 10, 2007 - October 4, 2007
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
MCLEAN, VA
Past
October 28, 2002 - October 4, 2007
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
MCLEAN, VA
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(5/9/2023)
RR
Colorado(5/14/2019)
RR
Connecticut(8/25/2020)
RR
District of Columbia(4/14/2017)
IAR
District of Columbia(4/19/2017)
RR
Florida(7/20/2020)
RR
Georgia(8/3/2021)
RR
Idaho(1/31/2018)
RR
Maine(4/5/2022)
RR
Maryland(5/7/2020)
RR
Massachusetts(10/7/2021)
RR
Michigan(4/12/2021)
RR
Minnesota(2/25/2018)
RR
New York(4/18/2023)
RR
North Carolina(8/26/2016)
RR
Pennsylvania(9/21/2017)
RR
Rhode Island(11/28/2023)
RR
South Carolina(4/13/2017)
RR
Tennessee(2/8/2023)
RR
Texas(9/12/2025)
IAR
Texas(9/15/2025)
IAR
Virginia(2/1/2016)
RR
Virginia(2/2/2016)
RR
West Virginia(7/14/2017)
Exams
State Security Law Exam
State Security Law 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)
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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.
