Cody F. Vaughn
THRIVENT INVESTMENT MANAGEMENT
Easton, MO
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CRD#: 5450248
Professional summary
Cody Francis Vaughn, CFP® is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Easton, Missouri.
Cody is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Cody has worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 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.
HABITAT FOR HUMANITY POSITION: Board Member NATURE: I am on the board for the local Habitat for Humanity. I help with promoting the mission of Habity by spreading the word on events, helping to find volunteers, vote for internal issues and volunteer my time. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2016 ADDRESS: 3131 Frederick, Saint Joseph MO 64506, United States DESCRIPTION: Attend board meetings and volunteer in the comunity FAMILY GUIDANCE CENTER POSITION: Board member NATURE: Mission: FGC helps individuals and families lead healthier, more productive lives by providing an array of behavioral health and social and health services INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 06/24/2021 ADDRESS: 901 Felix St, Saint Joseph MO 64501, United States DESCRIPTION: Board member to help make decisions to help the community lives better and healthier lives M.V. HOMES LLC POSITION: Owner NATURE: LLC to purchase short term residential house rental. New LLC and looking for purchase now. INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 06/03/2024 ADDRESS: 9099 SE Mitchell Road, Easton MO 64443, United States DESCRIPTION: Owner/manager of LLC
CRS (Client Relationship Summary) - RIA
Click below to view Cody Francis Vaughn's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Cody Francis Vaughn'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®
CFP®
Start date: 2017
Experience
Current
December 24, 2014 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #2: 3131 Frederick Ave, Saint Joseph, MO 64506RIA
BD
CRD#: 18387
Easton, MO
Current
January 7, 2009 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 3131 Frederick Ave, Saint Joseph, MO 64506RIA
BD
CRD#: 18387
Saint Joseph, MO
Past
July 14, 2008 - January 6, 2009
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
KANSAS CITY, MO
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
Alabama(7/16/2014)
RR
Arkansas(2/20/2025)
RR
Iowa(10/18/2023)
RR
Kansas(2/8/2010)
RR
Kentucky(11/6/2024)
RR
Missouri(1/7/2009)
IAR
Missouri(12/24/2014)
RR
Nebraska(1/3/2011)
RR
Washington(8/6/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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.
