TT
Tom M. Triolo
THRIVENT INVESTMENT MANAGEMENT
Appleton, WI
Some features on this profile are disabled
CRD#: 4922016
TT
Professional summary
Tom Matthew Triolo, who also goes by Tom M Triolo, is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Appleton, Wisconsin.
Tom is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Tom has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tom M Triolo
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.
APPLETON CURLING CLUB
POSITION: BARTENDER NATURE: ON DUTY BARTENDER DURING CURLING GAMES - THIS IS A VOLUNTARY SERVICE; I'M NOT BEING PAID OR COLLECTING TIPS. INVESTMENT RELATED: NO NUMBER OF HOURS: 16 INVESTMENT RELATED HOURS: 0 START DATE: 01/14/2015
ADDRESS: 307 WESTHILL BLVD, APPLETON WI 54914
DESCRIPTION: POUR BEER.
CRS (Client Relationship Summary) - RIA
Click below to view Tom Matthew Triolo's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Tom Matthew Triolo'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
November 5, 2007 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
BD
CRD#: 18387
Appleton, WI
Current
November 5, 2007 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 4321 N Ballard Rd, Appleton, WI 54919RIA
BD
CRD#: 18387
Appleton, WI
Past
March 14, 2006 - October 22, 2007
TRIOLO FINANCIAL INC.
RIA
CRD#: 129707
SAN ANTONIO, TX
Past
October 31, 2005 - November 2, 2007
OSAIC SERVICES, INC.
BD
CRD#: 133763
APPLETON, WI
Past
May 17, 2005 - October 31, 2005
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
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(1/7/2009)
RR
Alaska(12/7/2012)
RR
Arizona(1/7/2009)
RR
Arkansas(1/7/2009)
RR
California(1/7/2009)
RR
Colorado(1/7/2009)
RR
Connecticut(1/7/2009)
RR
Delaware(4/13/2009)
RR
District of Columbia(10/2/2008)
IAR
District of Columbia(12/12/2008)
RR
Florida(8/7/2008)
RR
Georgia(10/2/2008)
RR
Hawaii(10/9/2020)
RR
Idaho(4/13/2009)
RR
Illinois(8/7/2008)
RR
Indiana(8/7/2008)
RR
Iowa(8/7/2008)
RR
Kansas(1/7/2009)
RR
Kentucky(9/10/2008)
RR
Louisiana(9/10/2008)
RR
Maine(1/7/2009)
RR
Maryland(4/13/2009)
RR
Massachusetts(8/7/2008)
RR
Michigan(8/7/2008)
RR
Minnesota(8/7/2008)
RR
Mississippi(1/7/2009)
RR
Missouri(1/7/2009)
RR
Montana(4/13/2009)
RR
Nebraska(8/7/2008)
RR
Nevada(10/9/2008)
RR
New Hampshire(10/2/2008)
RR
New Jersey(10/9/2008)
RR
New Mexico(8/7/2008)
RR
New York(9/10/2008)
RR
North Carolina(9/11/2008)
RR
North Dakota(9/10/2008)
RR
Ohio(8/8/2008)
RR
Oklahoma(1/7/2009)
IAR
Oklahoma(1/31/2009)
RR
Oregon(1/7/2009)
RR
Pennsylvania(8/7/2008)
RR
Rhode Island(4/13/2009)
RR
South Carolina(8/7/2008)
RR
South Dakota(4/13/2009)
RR
Tennessee(10/9/2020)
RR
Texas(8/7/2008)
IAR
Texas(8/11/2008)
RR
Utah(1/7/2009)
RR
Vermont(4/13/2009)
RR
Virginia(8/7/2008)
RR
Washington(1/7/2009)
RR
West Virginia(10/9/2008)
RR
Wisconsin(11/5/2007)
IAR
Wisconsin(11/5/2007)
RR
Wyoming(4/13/2009)
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)
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
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.
