LJ
Lafayette D. Johnson
THRIVENT INVESTMENT MANAGEMENT
Midlothian, VA 23113
Some features on this profile are disabled
CRD#: 4523821
LJ
Professional summary
Lafayette David Johnson, who also goes by D. J. Johnson, L. David Johnson, Dj Johnson, is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Midlothian, Virginia.
Lafayette is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Lafayette has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
D. J. Johnson | L. David Johnson | Dj Johnson
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.
CRS (Client Relationship Summary) - RIA
Click below to view Lafayette David Johnson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Lafayette David Johnson'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
October 11, 2022 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 13356 Midlothian Turnpike, Midlothian, VA 23113RIA
BD
CRD#: 18387
Midlothian, VA
Current
August 31, 2022 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 13356 Midlothian Turnpike, Midlothian, VA 23113RIA
BD
CRD#: 18387
Midlothian, VA
Past
December 8, 2021 - August 24, 2022
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
RICHMOND, VA
Past
August 27, 2019 - January 3, 2022
NYLIFE SECURITIES LLC
BD
CRD#: 5167
ATLANTA, GA
Past
July 6, 2017 - July 1, 2019
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
Glen Allen, VA
Past
December 12, 2003 - May 24, 2017
NYLIFE SECURITIES LLC
BD
CRD#: 5167
GLEN ALLEN, VA
Past
April 19, 2002 - October 24, 2003
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
April 19, 2002 - October 24, 2003
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
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(5/18/2023)
RR
Arkansas(11/22/2024)
RR
Colorado(12/2/2022)
RR
Connecticut(5/29/2024)
RR
Delaware(10/2/2024)
RR
District of Columbia(12/7/2022)
IAR
District of Columbia(12/7/2022)
RR
Florida(12/6/2022)
RR
Georgia(1/11/2024)
RR
Illinois(8/2/2023)
RR
Indiana(1/22/2024)
RR
Iowa(11/12/2024)
RR
Kentucky(4/28/2025)
RR
Maine(12/2/2022)
RR
Maryland(12/5/2022)
RR
Massachusetts(1/13/2023)
RR
Michigan(7/17/2023)
RR
Minnesota(6/11/2024)
RR
Mississippi(1/16/2024)
RR
New Hampshire(1/13/2023)
RR
New Jersey(3/22/2023)
RR
New Mexico(9/12/2025)
RR
North Carolina(12/2/2022)
RR
Ohio(12/16/2022)
RR
Oregon(8/12/2024)
RR
Pennsylvania(12/2/2022)
RR
Rhode Island(12/6/2022)
RR
South Carolina(6/15/2023)
RR
Tennessee(3/5/2024)
RR
Texas(1/9/2024)
IAR
Texas(1/9/2024)
RR
Virginia(10/11/2022)
IAR
Virginia(10/11/2022)
RR
Washington(12/1/2022)
RR
West Virginia(3/4/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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)
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.
Company Information
THRIVENT INVESTMENT MANAGEMENT INC.
CRD#: 18387Midlothian, VA 23113TRUST BUT VERIFY
Monitor Lafayette Johnson
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
