EJ
Efrem D. Jackson
THRIVENT INVESTMENT MANAGEMENT
Minneapolis, MN 55415
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CRD#: 5190809
EJ
Professional summary
Efrem D Jackson, who also goes by Efrem Duane Jackson, is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Minneapolis, Minnesota.
Efrem is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Efrem has worked at 14 firms and has passed the Series 66, Series 99TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Efrem Duane Jackson
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.
MIDWEST REAL ESTATE, LLC POSITION: Owner NATURE: This is LLC with my wife and I where we passively own residential real estate for the purposes of renting. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 05/01/2012 ADDRESS: 3508 Poplar DR SW, Bondurant IA 50035, United States DESCRIPTION: I passively help with management of the properties within the LLC. FREE TO SERVE MINISTRIES POSITION: Founder / Spiritual Leader NATURE: Free to Serve is a small Christian non-profit that teaches principles of generosity and stewardship in local churchesvia Bible studies and preaching. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2010 ADDRESS: PO BOX 764, Ankeny IA 50021, United States DESCRIPTION: As an ordained minister I lead the Bible studies and will preach or speak on different topics asrequested by local churches.
CRS (Client Relationship Summary) - RIA
Click below to view Efrem D Jackson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Efrem D Jackson'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 6, 2024 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 600 Portland Ave S, Minneapolis, MN 55415RIA
BD
CRD#: 18387
Minneapolis, MN
Current
September 6, 2024 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 600 Portland Ave S, Minneapolis, MN 55415RIA
BD
CRD#: 18387
Minneapolis, MN
Past
June 29, 2023 - May 6, 2024
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
WEST DES MOINES, IA
Past
April 22, 2019 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
W Des Moines, IA
Past
July 9, 2015 - November 9, 2016
VSR FINANCIAL SERVICES, INC.
BD
CRD#: 14503
West Des Moines, IA
Past
July 9, 2015 - November 9, 2016
INVESTORS CAPITAL CORP.
BD
CRD#: 30613
WEST DES MOINES, IA
Past
July 9, 2015 - November 2, 2017
GIRARD SECURITIES, INC.
BD
CRD#: 18697
W DES MOINES, IA
Past
July 9, 2015 - December 3, 2019
SUMMIT BROKERAGE SERVICES, INC.
BD
CRD#: 34643
W Des Moines, IA
Past
April 11, 2014 - September 28, 2017
CETERA ADVISORS LLC
RIA
CRD#: 10299
WEST DES MOINES, IA
Past
April 11, 2014 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
WEST DES MOINES, IA
Past
April 11, 2014 - May 6, 2024
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
WEST DES MOINES, IA
Past
April 11, 2014 - May 6, 2024
CETERA FINANCIAL SPECIALISTS LLC
BD
CRD#: 10358
WEST DES MOINES, IA
Past
April 11, 2014 - May 6, 2024
CETERA ADVISORS LLC
BD
CRD#: 10299
WEST DES MOINES, IA
Past
April 11, 2014 - May 6, 2024
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
WEST DES MOINES, IA
Past
February 25, 2013 - April 8, 2014
BANCWEST INVESTMENT SERVICES, INC.
RIA
CRD#: 29357
WEST DES MOINES, IA
Past
February 25, 2013 - April 8, 2014
BANCWEST INVESTMENT SERVICES, INC.
BD
CRD#: 29357
WEST DES MOINES, IA
Past
July 16, 2008 - February 8, 2013
PRINCIPAL ASSET MANAGEMENT
RIA
CRD#: 109002
DES MOINES, IA
Past
September 28, 2006 - July 16, 2008
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
DES MOINES, IA
Past
August 31, 2006 - January 22, 2013
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
DES MOINES, IA
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
Iowa(9/6/2024)
IAR
Iowa(9/6/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral 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.
