JM
Janice M. Mowen
THRIVENT INVESTMENT MANAGEMENT
Geneva, IL
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CRD#: 4503949
JM
Professional summary
Janice M Mowen, who also goes by Janice Margaret Jensen, Janice Margaret Jensen Johnson, Janice M Jensen-johnson, Janice M Jensenjohnson, Janice M Johnson, Janice M J Johnson, Janice Margaret Mowen, is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Geneva, Illinois.
Janice is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Janice has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Janice Margaret Jensen | Janice Margaret Jensen Johnson | Janice M Jensen-Johnson | Janice M Jensenjohnson | Janice M Johnson | Janice M J Johnson | Janice Margaret Mowen
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.
DGM INVESTMENTS, LLC POSITION: Manager/Co-Owner NATURE: Real Estate properties/rentals. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 10/11/2005 ADDRESS: 1913 Crystal Tree Court, Geneva IL 60134, United States DESCRIPTION: Manage properties, set up lease agreements, maintain records and pay bills as needed.
CRS (Client Relationship Summary) - RIA
Click below to view Janice M Mowen's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Janice M Mowen'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
August 5, 2015 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #2: 611 E State St, Geneva, IL 60134RIA
BD
CRD#: 18387
Geneva, IL
Current
August 5, 2015 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 611 E State St, Geneva, IL 60134RIA
BD
CRD#: 18387
Geneva, IL
Past
March 12, 2009 - December 31, 2014
1ST GLOBAL ADVISORS INC
RIA
CRD#: 111133
ELGIN, IL
Past
March 12, 2009 - December 31, 2014
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
ELGIN, IL
Past
October 26, 2006 - August 27, 2008
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
CRD#: 18387
GENEVA, IL
Past
August 9, 2006 - August 27, 2008
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
GENEVA, IL
Past
January 6, 2003 - August 4, 2006
QA3 FINANCIAL CORP.
BD
CRD#: 14754
ST CHARLES, IL
Past
July 9, 2002 - January 3, 2003
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, GA
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(10/15/2018)
RR
Colorado(5/16/2024)
RR
Florida(9/2/2015)
IAR
Florida(2/9/2023)
RR
Illinois(8/5/2015)
IAR
Illinois(8/5/2015)
RR
Indiana(4/8/2016)
RR
Michigan(3/14/2023)
RR
Minnesota(9/6/2016)
RR
Pennsylvania(8/30/2019)
RR
Tennessee(10/7/2021)
RR
Texas(10/3/2017)
IAR
Texas(10/4/2017)
RR
Wisconsin(9/6/2016)
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)
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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.
