LP
Larry E. Poch
THRIVENT INVESTMENT MANAGEMENT
Fond du Lac, WI 54935
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CRD#: 5133349
LP
Professional summary
Larry Edward Poch is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Fond Du Lac, Wisconsin.
Larry is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Larry 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.
FOND DU LAC CONCERT ASSOCIATION POSITION: Board Member NATURE: The Fond du Lac Concert Association is an all-volunteer 501 (c)(3) non-profit organization which is committed to presenting a variety of world-class performances of exceptional musical quality, and since 1927 continues to enhance the cultural life of the Fond du Lac area. The association presents five or six concerts each season. Over the years programming has included symphony orchestras, classical, jazz, big bands, pop, folk, dance, vocal and instrumental soloists and groups, chorale, ballets, popular musicals, show bands, ethnic and cultural ensembles of national and international performers to Fond du Lac audiences. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2022 ADDRESS: PO Box 666, Fond du Lac WI 54936, United States DESCRIPTION: Volunteers are the backbone of the Fond du Lac Concert Association. From ushers to fundraisers, our dedicated volunteers contribute time and talent to our success on every level. Through a volunteer board the Fond du Lac Concert Association has created an unmistakable presence in the Fond du Lac community by providing exceptional concert programs and services. Based on needs, the board directs the association president to facilitate the development of a plan of action. The plan of action is developed through board meetings, conferences with the advisory board members and various community groups. Each board of director serves for a term of 3 years and is eligible for an unlimited number of additional three-year terms but must be re-elected at the end of each three-year term. A few of the duties performed by board members are as follows: attend board of director meetings, usher at concert events, participate in the selection of concert program artists for each season, serve on assigned committee(s), assist with occasional office tasks and sponsorship fundraising. The Fond du Lac Concert Association strives to: Foster through a non-profit plan, a series of concerts each season by outstanding artists or musical organizations on a non-profit, educational and civic basis. Present world-class artists to local citizens at ticket prices that encourage maximum participation Encourage children to participate in the performing arts both as audience and artists
CRS (Client Relationship Summary) - RIA
Click below to view Larry Edward Poch's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Larry Edward Poch'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
August 8, 2006 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 1020 S Main St, Fond Du Lac, WI 54935RIA
BD
CRD#: 18387
Fond du Lac, WI
Current
July 13, 2006 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 1020 S Main St, Fond Du Lac, WI 54935RIA
BD
CRD#: 18387
Fond du Lac, WI
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(6/1/2021)
RR
Minnesota(4/21/2021)
RR
Missouri(7/9/2007)
RR
South Dakota(4/21/2021)
RR
Wisconsin(8/8/2006)
IAR
Wisconsin(8/8/2006)
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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