Poitier Grant
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Poitier Grant, who also goes by Poitier A Grant, Poitier Antoine Grant, was a registered financial professional .
Poitier is a previously registered financial professional and started their career in finance in 2009. Poitier had worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 5, 2019 - September 4, 2019
THRIVENT INVESTMENT MANAGEMENT INC.
August 5, 2019 - September 4, 2019
THRIVENT INVESTMENT MANAGEMENT INC.
February 12, 2015 - September 12, 2017
TD AMERITRADE, INC.
February 12, 2015 - September 12, 2017
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
February 12, 2015 - September 12, 2017
TD AMERITRADE, INC.
October 9, 2014 - February 26, 2015
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
October 8, 2014 - February 26, 2015
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
April 24, 2014 - August 5, 2014
EQUITABLE ADVISORS, LLC
April 10, 2014 - August 5, 2014
EQUITABLE ADVISORS, LLC
March 22, 2012 - October 7, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 22, 2012 - October 7, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 20, 2012 - March 6, 2012
MSI FINANCIAL SERVICES, INC.
December 15, 2011 - March 6, 2012
MSI FINANCIAL SERVICES, INC.
August 13, 2010 - October 24, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 13, 2010 - October 24, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 13, 2009 - March 29, 2010
WELLS FARGO INVESTMENTS, LLC
June 30, 2009 - March 29, 2010
WELLS FARGO INVESTMENTS, LLC
Primary Firm SEC Registration
THRIVENT INVESTMENT MANAGEMENT INC.
CRD#: 18387 / SEC#: 801-29618, 8-36525
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
THRIVENT INVESTMENT MANAGEMENT INC.
CRD#: 18387 / SEC#: 801-29618, 8-36525
Contact information
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 |
|---|---|---|
| 01/22/2026 | ||
| 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.
