CE
Chad M. Erickson
THRIVENT INVESTMENT MANAGEMENT
East Grand Forks, MN 56721
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CRD#: 4822708
CE
Professional summary
Chad Mitchell Erickson is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in East Grand Forks, Minnesota.
Chad is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Chad has worked at 1 firm and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
I AM OWNER OF AN INVESTMENT PROPERTY. IT IS A ONE UNIT TWIN HOME. I DEVOTE APX 1 HR/MTH. MY DUTIES ARE ALL ASPECTS OF THE PROPERTY MANAGEMENT CKE FARMS POSITION: OWNER NATURE: SHARE CROP FARM OPERATION. INVESTMENT RELATED: NO INVESTMENT RELATED HOURS: 4 DESCRIPTION: MANAGING CROP ROTATIONS, PURCHASING SEED, FERTILIZER AND CHEMICAL AS WELL AS MARKETING THE CROPS. A GROWER WILL COMPLETE ALL ASPECTS OF GROWING THE CROPS. CITY OF EAST GRAND FORKS PLANNING AND ZONING COMMISSION POSITION: Secretery NATURE: Help guide the planning and lay out of the city in order to further growth and have along term outlook.Help developers understand the city's expectations for new developments etc. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 01/01/2012 ADDRESS: 600 Demers Ave, East Grand Forks MN 56721, United States DESCRIPTION: I attend a monthly meeting at the city hall. The meetingis usually 1hr. our board is comprised of 10 individuals from our community. We areplaced with the responsibilty of granting or denying exceptions to the currentscodes for building. We help guide the city in the right direction in regards to long term planning and zoning.
CRS (Client Relationship Summary) - RIA
Click below to view Chad Mitchell Erickson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Chad Mitchell Erickson'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
December 19, 2013 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 200 Gateway Nw, East Grand Forks, MN 56721RIA
BD
CRD#: 18387
East Grand Forks, MN
Current
January 25, 2006 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 200 Gateway Nw, East Grand Forks, MN 56721RIA
BD
CRD#: 18387
East Grand Forks, MN
Past
July 24, 2006 - December 31, 2007
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
CRD#: 18387
GRAND FORKS, ND
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(12/16/2020)
RR
Colorado(12/16/2020)
RR
Florida(4/22/2024)
RR
Minnesota(1/25/2006)
IAR
Minnesota(12/19/2013)
RR
New York(7/31/2008)
RR
North Dakota(2/14/2006)
RR
Pennsylvania(7/17/2023)
RR
Texas(10/24/2018)
IAR
Texas(10/24/2018)
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
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Company Information
THRIVENT INVESTMENT MANAGEMENT INC.
CRD#: 18387East Grand Forks, MN 56721TRUST BUT VERIFY
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