JE
Justin L. Espenson
THRIVENT INVESTMENT MANAGEMENT
Windom, MN 56101
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CRD#: 5185153
JE
Professional summary
Justin Lee Espenson, ChFC® is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Windom, Minnesota.
Justin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Justin has worked at 3 firms 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.
WINDOM ARENA BUILDING COMITTEE POSITION: Board Member NATURE: We are a group of parents who are responsible for a new addition that is being added to the Windom Hockey Arena - we have fundraised the entire project INVESTMENT RELATED: No NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2013 ADDRESS: PO Box 41, Windom MN 56101, United States DESCRIPTION: I was an active member in fundraising the entire $500,000 addition which all funding is now completed. In an ongoing manner we will look to make additional improvements as well as general building recomendations ARENA BOOSTER CLUB POSITION: Board Member NATURE: Community board that raises funds for the various activities of our Local Arena. Many youth and community activities take place ranging from youth hockey, racquetball, figure skating, hoarse shows etc. Many of these activities need additional funding or scholarships for participants which this board can provide INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2019 ADDRESS: 50343 County Rd 13, Windom MN 56101, United States DESCRIPTION: My duties will include serving on the board which will in some cases raise funds for future scholarship/Arena project needs as well as helping to determine project funding amounts. WINDOM YOUTH HOCKEY ASSOCIATION POSITION: Board Member NATURE: 501 C 3 organization. INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 1 START DATE: 04/01/2020 ADDRESS: PO Box 41, Windom MN 56101, United States DESCRIPTION: Our board is set up to run our local hockey assn from fundraising to coaching FIRST UNITED METHODIST CHURCH POSITION: Member NATURE: I have been asked to serve on a Staffing Parish Relations committee - We will be evaluating the workload of the church and determine what staffing needs we have as well as any HR issues that may arise. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 02/10/2021 ADDRESS: 974 6th St, Windom MN 56101, United States DESCRIPTION: Evaluate HR and Staffing needs within the church WINDOM VARSITY/ JV HOCKEY POSITION: Assistant Boys Varsity /JV Coach NATURE: I am an assistant/ Goalie coach for our Varsity Hockey team. INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 20 START DATE: 01/01/2022 ADDRESS: 1400 17th St, Windom MN 56101, United States DESCRIPTION: I help with organizing and running Practices of Boys JV and Varsity as well as coach durring games ESPENSON GROUP LLC POSITION: My wife is the owner NATURE: This is a commercial Laundry which primarily performs laundry services to our local hospital, fire dept, dental clinics and funeral homes. INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 0 START DATE: 01/02/2007 ADDRESS: 728 4th Ave, WIndom MN 56101, United States DESCRIPTION: I fill in if needed to help with Maintenance
CRS (Client Relationship Summary) - RIA
Click below to view Justin Lee Espenson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Justin Lee Espenson'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®
Experience
Current
June 19, 2018 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 1450 Hwy 60/71, Windom, MN 56101RIA
BD
CRD#: 18387
Windom, MN
Current
June 19, 2018 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 1450 Hwy 60/71, Windom, MN 56101RIA
BD
CRD#: 18387
Windom, MN
Past
February 14, 2018 - June 7, 2018
LPL FINANCIAL LLC
RIA
CRD#: 6413
FORT MILL, SC
Past
February 14, 2018 - June 7, 2018
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Past
December 1, 2016 - February 14, 2018
INVEST FINANCIAL CORPORATION
RIA
CRD#: 12984
Windom, MN
Past
December 1, 2016 - February 14, 2018
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
APPLETON, WI
Past
December 19, 2013 - October 27, 2015
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
CRD#: 18387
WINDOM, MN
Past
August 14, 2006 - October 27, 2015
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
WINDOM, MN
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
Arizona(5/2/2022)
RR
Iowa(8/3/2018)
RR
Minnesota(6/19/2018)
IAR
Minnesota(6/19/2018)
RR
Nebraska(12/8/2022)
RR
South Dakota(9/4/2018)
RR
Texas(9/9/2019)
IAR
Texas(9/9/2019)
RR
Wisconsin(5/17/2021)
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.
