MB
Mark K. Baccaglini
THRIVENT INVESTMENT MANAGEMENT
Whippany, NJ 07981
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CRD#: 5330866
MB
Professional summary
Mark Kenneth Baccaglini is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Whippany, New Jersey.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Mark 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.
MORRISTOWN AREA LITTLE LEAGUE POSITION: Vice President NATURE: Provide and organize baseball and softball programs for local youth INVESTMENT RELATED: No NUMBER OF HOURS: 6 SECURITIES TRADING HOURS: 0 START DATE: 11/03/2022 ADDRESS: PO Box 1571, Morristown NJ 07960, United States DESCRIPTION: Support the President in overall league coordination and management. Organize player and coach registration and team formation. Hep with coach and player evaluation and development. Coordinate schedule and field use across the different levels and fields in the town. Complete volunteer background checks. Schedule and organize opening day festivities and team photos. Assist with fundraising and team sponsorship.
CRS (Client Relationship Summary) - RIA
Click below to view Mark Kenneth Baccaglini's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Mark Kenneth Baccaglini'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
June 26, 2007 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 110 S Jefferson Rd, Whippany, NJ 07981RIA
BD
CRD#: 18387
Whippany, NJ
Current
June 26, 2007 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 110 S Jefferson Rd, Whippany, NJ 07981RIA
BD
CRD#: 18387
Whippany, NJ
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(8/31/2016)
RR
California(2/15/2018)
RR
Colorado(3/23/2020)
RR
Connecticut(10/1/2013)
RR
Florida(10/23/2014)
RR
Georgia(5/19/2021)
RR
Illinois(1/30/2023)
RR
Iowa(10/7/2020)
RR
Maryland(9/10/2015)
RR
Massachusetts(5/22/2020)
RR
Michigan(7/14/2022)
RR
Minnesota(9/9/2016)
RR
Missouri(4/8/2019)
RR
Montana(7/17/2018)
RR
New Jersey(6/26/2007)
IAR
New Jersey(6/26/2007)
RR
New York(4/17/2015)
RR
North Carolina(1/3/2023)
RR
Pennsylvania(8/13/2013)
RR
South Carolina(8/9/2023)
RR
Virginia(2/16/2022)
RR
Wisconsin(1/10/2013)
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.
