BH
Brian J. Heipp
THRIVENT INVESTMENT MANAGEMENT
Lakeland, FL
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CRD#: 5435571
BH
Professional summary
Brian J Heipp, ChFC®, CLU®, who also goes by Brian Joseph Heipp, is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Lakeland, Florida.
Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Brian has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Brian Joseph Heipp
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.
LAKELAND SUNRISE ROTARY CLUB POSITION: Board Member NATURE: As Board Member, I will tend the weekly/monthly meetings, recruit new members, and attend area Rotary events representing the club. I will not a vote on investments our fund raising. I will become President elect 7/2022- 6/2023 & President of club from 7/2023 - 6/2024 INVESTMENT RELATED: No NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2018 ADDRESS: P.O. Box 362, Lakeland FL 33803, United States DESCRIPTION: attend weekly/monthly meetings, guide club direction. LAKELAND RUNNERS CLUB POSITION: Vice President NATURE: The Lakeland Runners Club is a 501(c)(3) nonprofit organization whose mission is to promote running and fitness for all people and ages in the greater Lakeland area through fellowship, education, and running events. Current Membership is approximately 800. INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2020 ADDRESS: P.O. Box 1484, Lakeland FL 33813, United States DESCRIPTION: I am currently a board member and will be serving as club vice president from 4/23-12/23. This position will serve as general support to the president and facilitating club operations. I also coach the club"s Tuesday night workouts and assist as needed on other group runs during the week as needed. LAKELAND RUNNERS CLUB POSITION: President NATURE: The Lakeland Runners Club is a 501(c)(3) nonprofit organization whose mission is to promote running and fitness for all people and ages in the greater Lakeland area through fellowship, education, and running events. Current Membership is approximately 800. INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2026 ADDRESS: P.O. Box 1484, Lakeland FL 33813, United States DESCRIPTION: I am currently serving as Vice President. My focus has been coaching run programs for the club early morning and on Tuesday evening. I do not have check signing abilities. I will be assuming position of President in 1/2026 -12/2027. Responsibilities will include general supervision, control of the business, and affairs of the corporation. I am relinquishing check signing and card holding responsibilities.
CRS (Client Relationship Summary) - RIA
Click below to view Brian J Heipp's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Brian J Heipp'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
August 17, 2015 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
BD
CRD#: 18387
Lakeland, FL
Current
August 13, 2015 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
BD
CRD#: 18387
Lakeland, FL
Past
July 28, 2014 - August 11, 2015
LPL FINANCIAL LLC
RIA
CRD#: 6413
LAKELAND, FL
Past
July 25, 2014 - August 11, 2015
LPL FINANCIAL LLC
BD
CRD#: 6413
LAKELAND, FL
Past
January 10, 2008 - July 29, 2014
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
CRD#: 18387
LAKELAND, FL
Past
October 18, 2007 - July 29, 2014
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
LAKELAND, FL
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
Florida(8/13/2015)
IAR
Florida(8/17/2015)
RR
Georgia(2/2/2021)
RR
New Hampshire(10/13/2023)
RR
North Carolina(9/17/2025)
RR
South Carolina(9/30/2025)
RR
Tennessee(3/28/2024)
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.
