JM
Joseph E. Montgomery
THRIVENT INVESTMENT MANAGEMENT
Saint Charles, MN
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CRD#: 4695975
JM
Professional summary
Joseph E. Montgomery IV, who also goes by Chip Montgomery, Joseph Edwin Montgomery IV, Joseph Edwin Montgomery, is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Saint Charles, Minnesota.
Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Joseph has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Chip Montgomery | Joseph Edwin Montgomery Iv | Joseph Edwin Montgomery
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.
1) FOCUS FINANCIAL POSITION: FINANCIAL ADVISOR NATURE: CORPORATION INVESTMENT RELATED: YES NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 01/08/2015 ADDRESS: 949 WHITEWATER AVENUE, SUITE 1, SAINT CHARLES MN 55972 DESCRIPTION: PORTFOLIO MANAGEMENT, PORTFOLIO ALLOCATION, FINANCIAL PLANNING, TAX PLANNING 2) INSURANCE POSITION: INSURANCE AGENT NATURE: INSURANCE AGENCY INVESTMENT RELATED: YES NUMBER OF HOURS: 30 SECURITIES TRADING HOURS: 20 START DATE: 01/08/2015 ADDRESS: 949 WHITEWATER AVENUE, SUITE 1, SAINT CHARLES MN 55972 DESCRIPTION: DUTIES ARE MINIMAL. OCCASIONALLY TAKE AN APPLICATION FOR FIXED LIFE INSURANCE. 3) FREDRICK JOHN TROENDLE POSITION: Employee-Financial Advisor NATURE: Sole proprietorship INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 09/01/2003 ADDRESS: 949 Whitewater Avenue, Suite 1, Saint Charles MN 55972 DESCRIPTION: Employed by Fredrick J. Troendle. Design and monitor portfolio allocations, execute securities trades, generate paperwork and open client accounts, review client tax information. 4) ST. CHARLES HIGH SCHOOL ATHLETIC EVENT TICKET SALES POSITION: Athletic Event Ticket Sales NATURE: K-12 Public School INVESTMENT RELATED: No NUMBER OF HOURS: 6 SECURITIES TRADING HOURS: 0 START DATE: 10/17/2017 ADDRESS: 600 East 6th Street, Saint Charles MN 55972, United States DESCRIPTION: Selling admission tickets to high school athletic events.
CRS (Client Relationship Summary) - RIA
Click below to view Joseph E. Montgomery IV's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Joseph E. Montgomery IV'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
January 24, 2023 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #2: 5 N Fremont St, Lewiston, MN 55952RIA
BD
CRD#: 18387
Saint Charles, MN
Current
January 24, 2023 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 5 N Fremont St, Lewiston, MN 55952RIA
BD
CRD#: 18387
Lewiston, MN
Past
January 14, 2015 - December 31, 2022
FOCUS FINANCIAL
RIA
CRD#: 116140
ST CHARLES, MN
Past
January 8, 2015 - December 31, 2022
OSAIC WEALTH, INC.
BD
CRD#: 23131
ST. CHARLES, MN
Past
December 10, 2013 - January 26, 2015
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
ST. CHARLES, MN
Past
October 30, 2003 - July 3, 2006
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
October 30, 2003 - January 26, 2015
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
ST. CHARLES, 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(11/8/2024)
RR
California(7/26/2024)
RR
Florida(6/26/2023)
RR
Iowa(11/8/2024)
RR
Maryland(6/20/2025)
RR
Minnesota(1/24/2023)
IAR
Minnesota(1/24/2023)
RR
Texas(11/8/2024)
IAR
Texas(11/10/2024)
RR
Virginia(3/11/2024)
RR
Wisconsin(2/15/2023)
Exams
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.
