SG
Shannon M. Gallop
THRIVENT INVESTMENT MANAGEMENT
Anthem, AZ
Some features on this profile are disabled
CRD#: 4872586
SG
Professional summary
Shannon M Gallop, who also goes by Shannon Murray Gallop, Shannon Diane Murray, is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Anthem, Arizona.
Shannon is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Shannon has worked at 16 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Shannon Murray Gallop | Shannon Diane Murray
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.
FORA/TRAVEL AGENT POSITION: Travel Agent NATURE: Travel Agent affiliated with Fora Travel Host Agency INVESTMENT RELATED: No NUMBER OF HOURS: 12 SECURITIES TRADING HOURS: 0 START DATE: 08/24/2025 ADDRESS: 39944 N Pride Dr, Anthem AZ 85086, United States DESCRIPTION: I will be working with my client base to schedule travel and vacations around the world after work and on weekends.
CRS (Client Relationship Summary) - RIA
Click below to view Shannon M Gallop's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Shannon M Gallop'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
September 26, 2022 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
BD
CRD#: 18387
Anthem, AZ
Current
September 26, 2022 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 600 Portland Ave S Msc 7100, Minneapolis, MN 55415RIA
BD
CRD#: 18387
Minneapolis, MN
Past
February 27, 2020 - August 12, 2022
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
Anthem, AZ
Past
February 18, 2020 - August 12, 2022
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
PHOENIX, AZ
Past
March 26, 2019 - June 4, 2019
REDWOOD INVESTMENT MANAGEMENT, LLC.
RIA
CRD#: 153139
Scotttsdale, AZ
Past
March 26, 2019 - June 4, 2019
MULHOLLAND WEALTH ADVISORS, LLC
RIA
CRD#: 282408
Scotttsdale, AZ
Past
January 17, 2019 - May 30, 2019
NORTHERN LIGHTS DISTRIBUTORS, LLC
BD
CRD#: 126159
ELKHORN, NE
Past
February 10, 2017 - June 25, 2018
WINDSOR CAPITAL MANAGEMENT, LLC
RIA
CRD#: 116593
PHOENIX, AZ
Past
August 4, 2016 - January 26, 2017
HARRISDIRECT LLC
RIA
CRD#: 42159
Scottsdale, AZ
Past
July 14, 2016 - January 26, 2017
E*TRADE SECURITIES LLC
BD
CRD#: 29106
SCOTTSDALE, AZ
Past
May 16, 2014 - July 19, 2016
VANGUARD MARKETING CORPORATION
BD
CRD#: 7452
SCOTTSDALE, AZ
Past
February 27, 2014 - May 6, 2014
ASSETMARK, INC.
RIA
CRD#: 109018
CONCORD, CA
Past
February 10, 2014 - May 5, 2014
CAPITAL BROKERAGE CORPORATION
BD
CRD#: 10465
GLEN ALLEN, VA
Past
September 13, 2010 - January 28, 2014
TD AMERITRADE, INC.
RIA
CRD#: 7870
SCOTTSDALE, AZ
Past
September 13, 2010 - January 28, 2014
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 111514
SCOTTSDALE, AZ
Past
January 14, 2009 - January 28, 2014
TD AMERITRADE, INC.
BD
CRD#: 7870
SCOTTSDALE, AZ
Past
January 13, 2009 - September 7, 2010
TD AMERITRADE, INC.
RIA
CRD#: 7870
SCOTTSDALE, AZ
Past
January 13, 2009 - September 7, 2010
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 111514
SCOTTSDALE, AZ
Past
August 29, 2007 - January 14, 2009
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
CONROE, TX
Past
August 27, 2007 - January 14, 2009
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
CONROE, TX
Past
July 27, 2006 - March 20, 2007
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
CRD#: 18387
HOUSTON, TX
Past
July 27, 2006 - March 20, 2007
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
HOUSTON, TX
Past
April 11, 2005 - July 27, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
THE WOODLANDS, TX
Past
April 11, 2005 - July 3, 2006
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
April 11, 2005 - July 27, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
THE WOODLANDS, TX
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
Alabama(10/28/2022)
RR
Alaska(10/28/2022)
RR
Arizona(9/26/2022)
IAR
Arizona(9/26/2022)
RR
Arkansas(10/28/2022)
RR
California(10/28/2022)
RR
Colorado(10/28/2022)
RR
Connecticut(10/28/2022)
RR
Delaware(10/28/2022)
RR
District of Columbia(10/28/2022)
IAR
District of Columbia(11/7/2022)
RR
Florida(10/28/2022)
RR
Georgia(10/28/2022)
RR
Hawaii(10/28/2022)
RR
Idaho(10/28/2022)
RR
Illinois(10/28/2022)
RR
Indiana(10/28/2022)
RR
Iowa(10/28/2022)
RR
Kansas(10/28/2022)
RR
Kentucky(10/28/2022)
RR
Louisiana(10/28/2022)
RR
Maine(10/28/2022)
RR
Maryland(10/28/2022)
RR
Massachusetts(10/28/2022)
RR
Michigan(10/28/2022)
RR
Minnesota(10/28/2022)
RR
Mississippi(10/28/2022)
RR
Missouri(10/28/2022)
RR
Montana(10/28/2022)
RR
Nebraska(10/28/2022)
RR
Nevada(10/28/2022)
RR
New Hampshire(10/28/2022)
RR
New Jersey(10/28/2022)
RR
New Mexico(10/28/2022)
RR
New York(10/28/2022)
RR
North Carolina(10/28/2022)
RR
North Dakota(10/28/2022)
RR
Ohio(10/28/2022)
RR
Oklahoma(10/28/2022)
IAR
Oklahoma(11/3/2022)
RR
Oregon(10/28/2022)
RR
Pennsylvania(10/28/2022)
RR
Rhode Island(10/28/2022)
RR
South Carolina(10/28/2022)
RR
South Dakota(10/28/2022)
RR
Tennessee(10/28/2022)
RR
Texas(10/28/2022)
IAR
Texas(10/31/2022)
RR
Utah(10/28/2022)
RR
Vermont(10/28/2022)
RR
Virginia(10/28/2022)
RR
Washington(10/28/2022)
RR
West Virginia(10/28/2022)
RR
Wisconsin(10/28/2022)
RR
Wyoming(10/28/2022)
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.
