BO
Brandon M. Ohara
THRIVENT INVESTMENT MANAGEMENT
Woodbury, MN
Some features on this profile are disabled
CRD#: 4798646
BO
Professional summary
Brandon M Ohara, who also goes by Brandon Michael O'hara, Brandon O'hara, Brandon Michael Ohara, Brandon Ohara, is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Woodbury, Minnesota.
Brandon is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Brandon has worked at 9 firms and has passed the Series 66, Series 52TO, SIE, Series 7, Series 53, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Brandon Michael O'hara | Brandon O'hara | Brandon Michael Ohara | Brandon Ohara
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)08/31/2022 - WEALTH ENHANCEMENT GROUP - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) 2)10/20/2022 - WEALTH ENHANCEMENT ADVISORY SERVICES LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Advisor - Start Date - 08/22/2022 - 160 Hours Per Month/100 Hours During Securities Trading - Time Spent 100% - I provide investment advisory services through WEALTH ENHANCEMENT ADVISORY SERVICES LLC, an independent investment advisor firm. I started this business activity in 10/2022. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
CRS (Client Relationship Summary) - RIA
Click below to view Brandon M Ohara's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Brandon M Ohara'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
July 17, 2024 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #2: 600 Portland Ave S, Minneapolis, MN 55415RIA
BD
CRD#: 18387
Woodbury, MN
Current
July 16, 2024 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 600 Portland Ave S, Minneapolis, MN 55415RIA
BD
CRD#: 18387
Minneapolis, MN
Past
October 7, 2022 - February 23, 2024
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC
RIA
CRD#: 116407
PLYMOUTH, MN
Past
September 28, 2022 - February 23, 2024
WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC
BD
CRD#: 130139
PLYMOUTH, MN
Past
September 16, 2022 - March 25, 2024
LPL FINANCIAL LLC
BD
CRD#: 6413
PLYMOUTH, MN
Past
October 16, 2019 - August 9, 2022
ADVISORNET WEALTH PARTNERS
RIA
CRD#: 113074
MINNEAPOLIS, MN
Past
March 15, 2019 - August 11, 2022
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
MINNEAPOLIS, MN
Past
March 15, 2019 - August 11, 2022
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
MINNEAPOLIS, MN
Past
December 19, 2013 - February 22, 2019
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
CRD#: 18387
MINNEAPOLIS, MN
Past
March 4, 2010 - February 22, 2019
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
MINNEAPOLIS, MN
Past
August 3, 2005 - February 5, 2010
FINTEGRA, LLC
RIA
CRD#: 16741
MINNEAPOLIS, MN
Past
May 16, 2005 - February 5, 2010
FINTEGRA, LLC
BD
CRD#: 16741
MINNEAPOLIS, MN
Past
August 5, 2004 - March 8, 2005
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
August 5, 2004 - March 8, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, 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
Minnesota(7/17/2024)
IAR
Minnesota(7/17/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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)
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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.
