SG
Sarah W. Groleau
THRIVENT INVESTMENT MANAGEMENT
Dedham, MA 02026
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CRD#: 5595097
SG
Professional summary
Sarah Willey Groleau, who also goes by Sarah A Groleau, Sarah Anne Groleau, is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Dedham, Massachusetts.
Sarah is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Sarah has worked at 1 firm and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Sarah A Groleau | Sarah Anne Groleau
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.
CYNTHIA'S CHALLENGE POSITION: Vice President NATURE: not for profit that raises funds for local special needs families with extraordinary medical expenses. my role is as VP - no investment related issues. INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 03/01/2019 ADDRESS: PO Box 213, Eaton NH 03832, United States DESCRIPTION: help plan fundraising event, run meeting in absence of Pres, request donations from local business for silent auction FREEDOM PUBLIC LIBRARY POSITION: Board member at Large Friends of the Library NATURE: Provide fundraising and volunteer support to public library. entity is separate 501c3 organization. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 05/01/2021 ADDRESS: PO Box 159, 38 Old portland Rd, Freedom NH 03836, United States DESCRIPTION: Run book club and craft activities for kids. In addition, the Friends of the Library raises funds to support programs, materials purchase and educational opportunities for the library. FREEDOM NH SCHOOL BOARD POSITION: Board Member -Chair NATURE: elected position. 3 year term.one of 5 board members serving the school district for the town of freedom (as part of the school administrative district 13).the school board's responsibility is to create a vision, set goals, establish and manage the budget, and hold the leadership accountable to appropriate educational standards. INVESTMENT RELATED: No NUMBER OF HOURS: 30 SECURITIES TRADING HOURS: 12 START DATE: 03/14/2021 ADDRESS: 40 Loon Lake Rd, Freedom NH 03836, United States DESCRIPTION: monthly board meetingattend training sessionsinterpret community surveyssupervise leadership (superintendent and principal)budget creation and implementationpolicy review and creation
CRS (Client Relationship Summary) - RIA
Click below to view Sarah Willey Groleau's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Sarah Willey Groleau'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
November 26, 2008 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 3 Allied Dr, Dedham, MA 02026Office #2: 1230 Rt 16, Ossipee, NH 03864RIA
BD
CRD#: 18387
Dedham, MA
Current
October 20, 2008 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 3 Allied Dr, Dedham, MA 02026Office #2: 1230 Rt 16, Ossipee, NH 03864RIA
BD
CRD#: 18387
Dedham, MA
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
Arizona(7/29/2016)
RR
California(1/18/2022)
RR
Colorado(3/23/2020)
RR
Connecticut(9/21/2011)
RR
Florida(9/21/2011)
RR
Georgia(2/6/2023)
RR
Maine(1/13/2009)
RR
Maryland(11/15/2021)
RR
Massachusetts(4/2/2009)
IAR
Massachusetts(4/29/2021)
RR
Minnesota(2/7/2024)
RR
Mississippi(7/22/2021)
RR
New Hampshire(11/26/2008)
IAR
New Hampshire(11/26/2008)
RR
New Jersey(8/9/2023)
RR
New York(5/23/2022)
RR
North Carolina(7/2/2012)
RR
Ohio(9/2/2015)
RR
Pennsylvania(12/7/2020)
RR
Rhode Island(1/13/2009)
RR
South Carolina(2/11/2025)
RR
Texas(7/26/2024)
IAR
Texas(7/26/2024)
RR
Vermont(9/1/2015)
RR
Virginia(10/21/2025)
RR
Washington(1/25/2016)
RR
West Virginia(2/3/2022)
RR
Wisconsin(7/13/2023)
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#: 18387Dedham, MA 02026TRUST BUT VERIFY
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