JE
James R. Erck
THRIVENT INVESTMENT MANAGEMENT
Sioux Falls, SD 57106
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CRD#: 4738067
JE
Professional summary
James R Erck, who also goes by James Rolan Erck, is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Sioux Falls, South Dakota.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. James has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James Rolan Erck
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.
TEA CITY COUNCIL POSITION: President of City Council NATURE: I will be serving an elected position for Ward II, on the Tea City Council for a three-year term starting May 2nd, 2024. INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 10 START DATE: 05/01/2024 ADDRESS: 600 E 1st Street, Tea SD 57064, United States DESCRIPTION: The City of Tea is an aldermanic form of government consisting ofa Mayor and six council members. City Council meetings are held the 1st & 3rd Mondays of the month at 6:00 pm at Tea City Hall. I will be serving as a council member dealing with City business at two evening meetings per month.
CRS (Client Relationship Summary) - RIA
Click below to view James R Erck's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James R Erck'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
April 25, 2012 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 3903 W Technology Circle, Sioux Falls, SD 57106RIA
BD
CRD#: 18387
Sioux Falls, SD
Current
April 23, 2012 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 3903 W Technology Circle, Sioux Falls, SD 57106RIA
BD
CRD#: 18387
Sioux Falls, SD
Past
January 4, 2012 - April 5, 2012
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
CRD#: 18387
LOVELAND, CO
Past
January 3, 2012 - April 5, 2012
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
LOVELAND, CO
Past
March 2, 2009 - January 12, 2010
INTEGRITY ALLIANCE, LLC.
RIA
CRD#: 139627
SIOUX FALLS, SD
Past
February 27, 2009 - January 12, 2010
INTEGRITY ALLIANCE, LLC.
BD
CRD#: 139627
SIOUX FALLS, SD
Past
August 18, 2004 - March 22, 2007
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
CRD#: 18387
SIOUX FALLS, SD
Past
January 14, 2004 - March 22, 2007
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
SIOUX FALLS, SD
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
Iowa(11/6/2014)
RR
Minnesota(11/6/2014)
RR
South Dakota(4/23/2012)
IAR
South Dakota(4/25/2012)
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.
