CD
Carol A. Duggan
THRIVENT INVESTMENT MANAGEMENT
Cape Girardeau, MO 63701
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CRD#: 5535635
CD
Professional summary
Carol Ann Duggan, who also goes by Carol Ann Grebing-duggan, is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Cape Girardeau, Missouri.
Carol is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Carol has worked at 1 firm and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Carol Ann Grebing-Duggan
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.
PERRY COUNTY LUTHERAN CHORALE POSITION: President Elect NATURE: A group of Musicians/Vocalists that gather to learn and perform at Lutheran Churches, to further God's mission through Music INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2018 ADDRESS: 2863 Cuesta Drive, Cape Girardeau MO 63701, United States DESCRIPTION: The group holds 3 concerts a year - around Reformation, Epiphany and Lent/Easter - we meet roughly 18 times throughout the year to practice the material and then perform the music at concerts. As President my role would be to hold an annual meeting of the chorale - in October to discuss our mission and future plans for concert locations. There are free will donations taken at the concerts we perform at. Those funds are used to purchase music and defray costs of hiring outside musicians that perform at the Epiphany concert. This position is a volunteer position and has minimal duties.
CRS (Client Relationship Summary) - RIA
Click below to view Carol Ann Duggan's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Carol Ann Duggan'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
July 23, 2008 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 1427 Thomas Drive, Cape Girardeau, MO 63701Office #3: 6267 Main St, Frohna, MO 63748RIA
BD
CRD#: 18387
Cape Girardeau, MO
Current
June 27, 2008 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 1427 Thomas Drive, Cape Girardeau, MO 63701Office #2: 6267 Main St, Frohna, MO 63748RIA
BD
CRD#: 18387
Cape Girardeau, 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
Arkansas(7/5/2018)
RR
California(9/16/2015)
RR
Florida(7/13/2020)
RR
Illinois(1/5/2009)
RR
Kansas(8/13/2008)
RR
Louisiana(11/17/2014)
RR
Missouri(7/23/2008)
IAR
Missouri(7/23/2008)
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
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Company Information
THRIVENT INVESTMENT MANAGEMENT INC.
CRD#: 18387Cape Girardeau, MO 63701TRUST BUT VERIFY
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