JR
James M. Rowe
THRIVENT INVESTMENT MANAGEMENT
Raleigh, NC 27604
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CRD#: 5400020
JR
Professional summary
James Matthew Rowe, who also goes by James M Rowe, James Matthew Rowe, James Rowe, Matthew Rowe, is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Raleigh, North Carolina.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. James has worked at 4 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James M Rowe | James Matthew Rowe | James Rowe | Matthew Rowe
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.
WAKE MEDICAL POSITION: Board Member NATURE: As of 9/25/25, I have been voted in as a Member of the Wake Medical Volunteer Board. I am solely a Board Member at this time, and I am not serving on any specific committees of any kind. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 09/25/2025 ADDRESS: 3000 New Bern Avenue, Raleigh NC 27610, United States DESCRIPTION: I am responsible for ensuring that the vision and values of the Wake Medical Volunteer Board are being implemented effectively. Responsible for ensuring that the Wake Medical Volunteers have a clear vision for what's expected and how their actions can have a positive impact on the community in which we reside.
CRS (Client Relationship Summary) - RIA
Click below to view James Matthew Rowe's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Matthew Rowe'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
February 14, 2025 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 3120 Highwoods Boulevard, Raleigh, NC 27604RIA
BD
CRD#: 18387
Raleigh, NC
Current
February 14, 2025 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 3120 Highwoods Boulevard, Raleigh, NC 27604RIA
BD
CRD#: 18387
Raleigh, NC
Past
October 20, 2023 - February 11, 2025
EDWARD JONES
RIA
CRD#: 250
WAKE FOREST, NC
Past
August 30, 2023 - February 11, 2025
EDWARD JONES
BD
CRD#: 250
WAKE FOREST, NC
Past
July 19, 2023 - August 22, 2023
SECU BROKERAGE SERVICES
BD
CRD#: 19899
KNIGHTDALE, NC
Past
July 15, 2022 - September 1, 2022
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
APEX, NC
Past
May 8, 2008 - August 25, 2021
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
FUQUAY VARINA, NC
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(5/29/2025)
RR
Arkansas(5/29/2025)
RR
California(5/29/2025)
RR
Colorado(7/29/2025)
RR
Connecticut(10/29/2025)
RR
Delaware(9/30/2025)
RR
Florida(2/28/2025)
RR
Georgia(8/13/2025)
RR
Hawaii(8/13/2025)
RR
Idaho(5/29/2025)
RR
Illinois(2/28/2025)
RR
Indiana(8/20/2025)
RR
Iowa(5/29/2025)
RR
Kansas(3/7/2025)
RR
Kentucky(5/29/2025)
RR
Louisiana(5/29/2025)
RR
Maryland(5/29/2025)
RR
Massachusetts(5/29/2025)
RR
Michigan(10/29/2025)
RR
Minnesota(9/18/2025)
RR
Mississippi(9/18/2025)
RR
Missouri(9/9/2025)
RR
Nebraska(5/29/2025)
RR
Nevada(8/13/2025)
RR
New Jersey(8/14/2025)
RR
New Mexico(5/29/2025)
RR
New York(6/3/2025)
RR
North Carolina(2/14/2025)
IAR
North Carolina(2/14/2025)
RR
North Dakota(9/22/2025)
RR
Ohio(5/29/2025)
RR
Oklahoma(5/29/2025)
IAR
Oklahoma(5/29/2025)
RR
Oregon(9/30/2025)
RR
Pennsylvania(9/30/2025)
RR
South Carolina(2/28/2025)
RR
South Dakota(10/29/2025)
RR
Tennessee(9/18/2025)
RR
Texas(9/18/2025)
IAR
Texas(9/18/2025)
RR
Utah(9/18/2025)
RR
Virginia(8/14/2025)
RR
Washington(8/13/2025)
RR
West Virginia(5/29/2025)
RR
Wisconsin(8/13/2025)
RR
Wyoming(9/18/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 9/25/2023
General Securities Representative 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.
Company Information
THRIVENT INVESTMENT MANAGEMENT INC.
CRD#: 18387Raleigh, NC 27604TRUST BUT VERIFY
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