PM
Philip L. Maass
THRIVENT INVESTMENT MANAGEMENT
Wayland, MI 49348
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CRD#: 4945427
PM
Professional summary
Philip Lee Maass, CFP®, CLU® is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Wayland, Michigan.
Philip is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Philip 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.
PHILIP AND SARAH MAASS RECREATIONAL LAND POSITION: Landowner NATURE: We purchased land in Delton, MI in 2008. The 100 acres is primarily recreational property.In 2011we had one contract to sell timber, generating approximately $3500 in net income. This is on an 'as needed' basis, with no current plans to market timber.In 2013, we entered into a 5 year mineral lease agreement with West Bay Exploration of Traverse City, MI. The contract paid a $7500 signing bonus, but has not moved forward with any exploration or drilling. There is an option to renew after 5 years at the same bonus rate.In 2015, an existing billboard contract lapsed, causing a new contract to begin with CBS outdoor. The contract pays approximately $900 per year to keep a billboard on part of the road frontage. This is a twenty year contract. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 05/15/2008 ADDRESS: Pine lake road at M-43, Delton MI 49046 DESCRIPTION: Outside of the time that has spent negotiating the three contracts, there has been no need for ongoing work (passive income). Other activities associated with the land (hunting, camping, hiking, etc) are of a purely recreational nature.
CRS (Client Relationship Summary) - RIA
Click below to view Philip Lee Maass's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Philip Lee Maass'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®
CFP®
Start date: 2012
Experience
Current
September 9, 2005 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 211 W Superior Street, Wayland, MI 49348RIA
BD
CRD#: 18387
Wayland, MI
Current
August 24, 2005 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 211 W Superior Street, Wayland, MI 49348RIA
BD
CRD#: 18387
Wayland, MI
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
Colorado(10/19/2023)
RR
Florida(6/4/2010)
RR
Indiana(11/21/2012)
RR
Iowa(10/19/2023)
RR
Michigan(6/19/2009)
IAR
Michigan(4/15/2010)
RR
Montana(4/1/2013)
RR
Ohio(4/27/2017)
RR
South Carolina(7/29/2025)
RR
Texas(9/9/2005)
IAR
Texas(9/9/2005)
RR
Vermont(7/29/2025)
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#: 18387Wayland, MI 49348TRUST BUT VERIFY
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