Fred C. Lee

THRIVENT INVESTMENT MANAGEMENT

Las Vegas, NV

Some features on this profile are disabled

CRD#: 4826778

Professional summary

Fred Chun Lee, who also goes by Fred C Lee, is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Las Vegas, Nevada.

Fred is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Fred has worked at 8 firms and has passed the Series 66, Series 52TO, SIE, Series 7, Series 4, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Fred C Lee

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Fred Chun Lee's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Fred Chun Lee's CRS (Customer Relationship Summary).

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®

None

Experience

Current

December 14, 2022 - Present

THRIVENT INVESTMENT MANAGEMENT INC.

Office #2: 600 Portland Ave S, Minneapolis, MN 55415

RIA

CRD#: 18387

Las Vegas, NV

Current

December 14, 2022 - Present

THRIVENT INVESTMENT MANAGEMENT INC.

Office #2: 600 Portland Ave S, Minneapolis, MN 55415

RIA

CRD#: 18387

Las Vegas, NV

Past

March 31, 2020 - December 9, 2022

U.S. BANCORP INVESTMENTS, INC.

RIA

CRD#: 17868

Vancouver, WA

Past

March 31, 2020 - December 9, 2022

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868

VANCOUVER, WA

Past

January 6, 2020 - April 7, 2020

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

VANCOUVER, WA

Past

January 6, 2020 - April 7, 2020

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

VANCOUVER, WA

Past

February 10, 2015 - December 26, 2019

U.S. BANCORP INVESTMENTS, INC.

RIA

CRD#: 17868

VANCOUVER, WA

Past

February 10, 2015 - December 26, 2019

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868

VANCOUVER, WA

Past

October 31, 2012 - February 6, 2015

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

VANCOUVER, WA

Past

October 31, 2012 - February 6, 2015

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

VANCOUVER, WA

Past

October 1, 2012 - October 30, 2012

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

PORTLAND, OR

Past

October 1, 2012 - October 30, 2012

J.P. MORGAN SECURITIES LLC

CRD#: 79

PORTLAND, OR

Past

January 11, 2012 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

PORTLAND, OR

Past

January 11, 2012 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

PORTLAND, OR

Past

January 3, 2011 - December 6, 2011

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

VANCOUVER, WA

Past

January 3, 2011 - December 6, 2011

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

VANCOUVER, WA

Past

November 21, 2007 - January 3, 2011

WELLS FARGO INVESTMENTS, LLC

RIA

CRD#: 10582

VANCOUVER, WA

Past

November 21, 2007 - January 3, 2011

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

VANCOUVER, WA

Past

April 26, 2007 - September 12, 2007

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

PASADENA, CA

Past

April 26, 2007 - September 12, 2007

MORGAN STANLEY & CO. LLC

CRD#: 8209

PASADENA, CA

Past

March 7, 2005 - April 30, 2007

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

MONROVIA, CA

Past

March 7, 2005 - April 30, 2007

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

MONROVIA, CA

Past

October 28, 2004 - March 10, 2005

WELLS FARGO INVESTMENTS, LLC

RIA

CRD#: 10582

LOS ANGELES, CA

Past

August 11, 2004 - March 10, 2005

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

SAN FRANCISCO, CA

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".

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)

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.

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

Minnesota
(12/14/2022)

IAR

Minnesota
(12/14/2022)

Nevada
(10/3/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/25/2004

Uniform Combined State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/10/2004

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 6/2/2015

Registered Options Principal Examination

Principal/Supervisory Exam

Series 53

Date: 4/21/2015

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 3/18/2015

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

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)

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

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

THRIVENT INVESTMENT MANAGEMENT INC. ADVISORFLEX MANAGED VARIABLE ANNUITY PROGRAM (6/30/2025)

THRIVENT INVESTMENT MANAGEMENT INC MANAGED ACCOUNTS PROGRAM (6/30/2025)

THRIVENT INVESTMENT MANAGEMENT INC. DEDICATED PLANNING SERVICES (6/30/2025)

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

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/21/2024	Cover Page	Report
01/25/2024	Cover Page	Report

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Fred C. Lee

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Fred Chun Lee's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Fred Chun Lee's CRS (Customer Relationship Summary).

Certified licenses

Experience

THRIVENT INVESTMENT MANAGEMENT INC.

U.S. BANCORP INVESTMENTS, INC.

U.S. BANCORP INVESTMENTS, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

U.S. BANCORP INVESTMENTS, INC.

U.S. BANCORP INVESTMENTS, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

Primary Firm SEC Registration

THRIVENT INVESTMENT MANAGEMENT INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 10/25/2004

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 8/10/2004

Series 4

Date: 6/2/2015

Series 53

Date: 4/21/2015

Series 24

Date: 3/18/2015

FINRA

Current Firm

THRIVENT INVESTMENT MANAGEMENT INC.

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

THRIVENT INVESTMENT MANAGEMENT INC.

TRUST BUT VERIFY

Similar Advisors