Peter J. Mcfarlane

THRIVENT ASSET MANAGEMENT

Minneapolis, MN 55402-3265

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CRD#: 4439268

Professional summary

Peter John Andrew Mcfarlane, CFP®, CIMA®, who also goes by Peter Andrew Mcfarlane, is a registered financial advisor currently at THRIVENT ASSET MANAGEMENT, LLC located in Minneapolis, Minnesota and THRIVENT DISTRIBUTORS, LLC located in Minneapolis, Minnesota.

Peter is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Peter has worked at 13 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Peter Andrew Mcfarlane

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Peter John Andrew Mcfarlane'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^®

Certified Financial Planner

Start date: 2016

CIMA^®

Certified Investment Management Analyst

Experience

Current

July 9, 2019 - Present

THRIVENT ASSET MANAGEMENT, LLC

Office #1: 901 Marquette Avenue Suite 2500, Minneapolis, MN 55402-3265

RIA

CRD#: 137751

Minneapolis, MN

Current

January 27, 2017 - Present

THRIVENT DISTRIBUTORS, LLC

Office #1: 901 Marquette Avenue Suite 2500, Minneapolis, MN 55402-3265

CRD#: 179512

Minneapolis, MN

Past

February 2, 2017 - June 13, 2019

THRIVENT INVESTMENT MANAGEMENT INC.

RIA

CRD#: 18387

MINNEAPOLIS, MN

Past

January 27, 2017 - June 13, 2019

THRIVENT INVESTMENT MANAGEMENT INC.

CRD#: 18387

MINNEAPOLIS, MN

Past

March 31, 2014 - May 19, 2016

SCOUT INVESTMENTS, INC.

RIA

CRD#: 111787

WOODSTOCK, GA

Past

March 17, 2014 - May 19, 2016

DISTRIBUTION SERVICES, LLC

CRD#: 25938

PORTLAND, ME

Past

July 24, 2013 - March 3, 2014

AMG DISTRIBUTORS, INC.

CRD#: 27314

STAMFORD, CT

Past

November 5, 2010 - April 3, 2013

NEXBANK SECURITIES INC

CRD#: 133267

DALLAS, TX

Past

October 6, 2008 - November 1, 2010

TRITON PACIFIC SECURITIES, LLC

CRD#: 139919

EL SEGUNDO, CA

Past

November 9, 2007 - August 18, 2008

CION SECURITIES, LLC

CRD#: 15487

SAN FRANCISCO, CA

Past

August 22, 2005 - October 30, 2007

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

Past

January 14, 2004 - August 18, 2005

ENTERPRISE FUND DISTRIBUTORS, INC.

CRD#: 883

ATLANTA, GA

Past

February 12, 2003 - September 29, 2003

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

ATLANTA, GA

Past

July 2, 2002 - September 29, 2003

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

November 6, 2001 - July 9, 2002

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

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".

THRIVENT ASSET MANAGEMENT, LLC

THRIVENT ASSET MANAGEMENT LLC | THRIVENT ASSET MANAGEMENT, LLC

CRD#: 137751 / SEC#: 801-64988

RIA

Registered Investment Advisory firm - (12/15/2005 Approved)

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.

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

Florida
(9/20/2017)

Georgia
(1/27/2017)

IAR

Minnesota
(7/9/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/11/2001

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 7/26/2002

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 10/22/2001

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

THRIVENT ASSET MANAGEMENT, LLC

THRIVENT ASSET MANAGEMENT LLC | THRIVENT ASSET MANAGEMENT, LLC

CRD#: 137751 / SEC#: 801-64988

RIA

Registered Investment Advisory firm - (12/15/2005 Approved)

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Contact information

Main Address

901 Marquette Avenue Suite 2500, Minneapolis, MN 55402-3211

Mailing Address

Phone number

(800) 847-4836

Established

Firm type

Fiscal year end

# of Employees

450

SEC notice filing (2 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

THRIVENT ASSET MANAGEMENT LLC BROCHURE 03/31/2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	31
AUM (Assets Under Management)	$ 46,815,882,100

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.

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Advisor Monitoring

Firm Stability Insights

Peter J. Mcfarlane

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Peter John Andrew Mcfarlane's CRS (Customer Relationship Summary).

Certified licenses

Experience

THRIVENT DISTRIBUTORS, LLC

THRIVENT INVESTMENT MANAGEMENT INC.

THRIVENT INVESTMENT MANAGEMENT INC.

SCOUT INVESTMENTS, INC.

DISTRIBUTION SERVICES, LLC

AMG DISTRIBUTORS, INC.

NEXBANK SECURITIES INC

TRITON PACIFIC SECURITIES, LLC

CION SECURITIES, LLC

GOLDMAN SACHS & CO. LLC

ENTERPRISE FUND DISTRIBUTORS, INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

THRIVENT ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/11/2001

SIE

Date: 10/1/2018

Series 31

Date: 7/26/2002

Series 7

Date: 10/22/2001

FINRA

Current Firm

THRIVENT ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

THRIVENT ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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