JT
James J. Talcott
THRIVENT INVESTMENT MANAGEMENT
Saint Petersburg, FL
Some features on this profile are disabled
CRD#: 5529048
JT
Professional summary
James Joseph Talcott, who also goes by Jake Joseph Talcott, James J Talcott, James Joseph Talcott, is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Saint Petersburg, Florida.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. James has worked at 9 firms and has passed the Series 63, Series 65, Series 7TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jake Joseph Talcott | James J Talcott | James Joseph Talcott
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view James Joseph Talcott's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Joseph Talcott'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
October 21, 2025 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
BD
CRD#: 18387
Saint Petersburg, FL
Current
October 2, 2025 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 600 Portland Ave S Msc 7100, Minneapolis, MN 55415RIA
BD
CRD#: 18387
Minneapolis, MN
Past
November 17, 2021 - May 13, 2025
FISHER INVESTMENTS
RIA
CRD#: 107342
TAMPA, FL
Past
May 18, 2021 - November 5, 2021
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
SUN CITY CENTER, FL
Past
April 30, 2021 - November 5, 2021
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
SUN CITY CENTER, FL
Past
October 20, 2020 - February 9, 2021
CITIZENS SECURITIES, INC.
RIA
CRD#: 39550
CHARLESTOWN, MA
Past
October 19, 2020 - February 9, 2021
CITIZENS SECURITIES, INC.
BD
CRD#: 39550
CHARLESTOWN, MA
Past
July 30, 2018 - August 28, 2020
SANTANDER SECURITIES LLC
RIA
CRD#: 41791
HAVERHILL, MA
Past
July 26, 2018 - August 28, 2020
SANTANDER SECURITIES LLC
BD
CRD#: 41791
HAVERHILL, MA
Past
May 17, 2016 - July 20, 2018
CITIZENS SECURITIES, INC.
RIA
CRD#: 39550
BOSTON, MA
Past
May 17, 2016 - July 20, 2018
CITIZENS SECURITIES, INC.
BD
CRD#: 39550
BOSTON, MA
Past
October 1, 2012 - July 8, 2015
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
AURORA, OH
Past
October 1, 2012 - July 8, 2015
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
AURORA, OH
Past
March 11, 2011 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
AURORA, OH
Past
March 9, 2011 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
AURORA, OH
Past
June 2, 2010 - March 3, 2011
PNC WEALTH MANAGEMENT LLC
RIA
CRD#: 129052
CLEVELAND, OH
Past
November 13, 2009 - March 3, 2011
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
CLEVELAND, OH
Past
May 12, 2009 - November 13, 2009
NATCITY INVESTMENTS, INC.
BD
CRD#: 17490
CLEVELAND, OH
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(11/3/2025)
RR
Alaska(11/3/2025)
RR
Arizona(11/3/2025)
RR
Arkansas(11/3/2025)
RR
California(11/3/2025)
RR
Colorado(11/3/2025)
RR
Connecticut(11/3/2025)
RR
Delaware(11/3/2025)
RR
District of Columbia(11/3/2025)
RR
Florida(10/20/2025)
IAR
Florida(10/21/2025)
RR
Georgia(11/3/2025)
RR
Hawaii(11/3/2025)
RR
Idaho(11/3/2025)
RR
Illinois(11/3/2025)
RR
Indiana(11/3/2025)
RR
Iowa(11/3/2025)
RR
Kansas(11/3/2025)
RR
Kentucky(11/3/2025)
RR
Louisiana(11/3/2025)
RR
Maine(11/3/2025)
RR
Maryland(11/3/2025)
RR
Massachusetts(11/3/2025)
RR
Michigan(11/3/2025)
RR
Minnesota(11/3/2025)
RR
Mississippi(11/3/2025)
RR
Missouri(11/3/2025)
RR
Montana(11/3/2025)
RR
Nebraska(11/3/2025)
RR
Nevada(11/3/2025)
RR
New Hampshire(11/3/2025)
RR
New Jersey(11/3/2025)
RR
New Mexico(11/3/2025)
RR
New York(11/3/2025)
RR
North Carolina(11/3/2025)
RR
North Dakota(11/3/2025)
RR
Ohio(11/3/2025)
RR
Oklahoma(11/3/2025)
IAR
Oklahoma(11/4/2025)
RR
Oregon(11/3/2025)
RR
Pennsylvania(11/3/2025)
RR
Rhode Island(11/3/2025)
RR
South Carolina(11/3/2025)
RR
South Dakota(11/3/2025)
RR
Tennessee(11/3/2025)
RR
Texas(11/3/2025)
IAR
Texas(11/3/2025)
RR
Utah(11/3/2025)
RR
Vermont(11/3/2025)
RR
Virginia(11/3/2025)
RR
Washington(11/3/2025)
RR
West Virginia(11/3/2025)
RR
Wisconsin(11/3/2025)
RR
Wyoming(11/3/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 10/2/2025
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.
