Yale Nelson

THRIVENT ASSET MANAGEMENT

Minneapolis, MN 55402-3211

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CRD#: 5523996

Professional summary

Yale Nelson, CFP®, who also goes by Yale Andrew Nelson, Yale A Nelson, is a registered financial advisor currently at THRIVENT ASSET MANAGEMENT, LLC located in Minneapolis, Minnesota and THRIVENT DISTRIBUTORS, LLC located in Minneapolis, Minnesota.

Yale is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Yale has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Yale Andrew Nelson | Yale A Nelson

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.

INVER GROVE HEIGHTS FIRE DEPARTMENT POSITION: On Call Firefighter NATURE: Firefighting and other emergency response services. INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 0 START DATE: 08/01/2024 ADDRESS: 9200 Courthouse Blvd, Inver Grove Heights MN 55077, United States DESCRIPTION: Upon completion of medical response and firefighting training, I will be working part time, outside of Thrivent hours, on emergency and non-emergency response by the city's fire department.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Yale Nelson'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^®

Certified Financial Planner

Experience

Current

August 2, 2022 - Present

THRIVENT ASSET MANAGEMENT, LLC

Office #1: 901 Marquette Avenue, Suite 2500, Minneapolis, MN 55402-3211

RIA

CRD#: 137751

Minneapolis, MN

Current

December 8, 2021 - Present

THRIVENT DISTRIBUTORS, LLC

Office #1: 901 Marquette Avenue Suite 2500, Minneapolis, MN 55402-3265

CRD#: 179512

Minneapolis, MN

Past

July 23, 2014 - November 4, 2021

RBC CAPITAL MARKETS, LLC

CRD#: 31194

MINNEAPOLIS, MN

Past

January 27, 2012 - August 1, 2013

QUESTAR CAPITAL CORPORATION

CRD#: 43100

MINNEAPOLIS, MN

Past

May 28, 2008 - January 18, 2012

ALLIANZ LIFE FINANCIAL SERVICES, LLC

CRD#: 612

GOLDEN VALLEY, MN

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".

THRIVENT ASSET MANAGEMENT, LLC

THRIVENT ASSET MANAGEMENT LLC | THRIVENT ASSET MANAGEMENT, LLC

CRD#: 137751 / SEC#: 801-64988

RIA

Registered Investment Advisory firm - (12/15/2005 Approved)

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.

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

Minnesota
(12/8/2021)

IAR

Minnesota
(8/2/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/25/2022

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/16/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 10/31/2014

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 12/15/2010

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/27/2008

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

THRIVENT ASSET MANAGEMENT, LLC

THRIVENT ASSET MANAGEMENT LLC | THRIVENT ASSET MANAGEMENT, LLC

CRD#: 137751 / SEC#: 801-64988

RIA

Registered Investment Advisory firm - (12/15/2005 Approved)

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Contact information

Main Address

901 Marquette Avenue Suite 2500, Minneapolis, MN 55402-3211

Mailing Address

Phone number

(800) 847-4836

Established

Firm type

Fiscal year end

# of Employees

450

SEC notice filing (2 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

THRIVENT ASSET MANAGEMENT LLC BROCHURE 03/31/2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	31
AUM (Assets Under Management)	$ 46,815,882,100

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.

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Advisor Monitoring

Firm Stability Insights

Yale Nelson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Yale Nelson's CRS (Customer Relationship Summary).

Certified licenses

Experience

THRIVENT DISTRIBUTORS, LLC

RBC CAPITAL MARKETS, LLC

QUESTAR CAPITAL CORPORATION

ALLIANZ LIFE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

THRIVENT ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/25/2022

Series 63

Date: 6/16/2008

SIE

Date: 10/1/2018

Series 3

Date: 10/31/2014

Series 7

Date: 12/15/2010

Series 6

Date: 5/27/2008

FINRA

Current Firm

THRIVENT ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

THRIVENT ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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