JA
Jordan K. Austin
THRIVENT INVESTMENT MANAGEMENT
Berthoud, CO
Some features on this profile are disabled
CRD#: 5644912
JA
Professional summary
Jordan Kent Austin, who also goes by Jake Austin, Jordan K Austin, is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Berthoud, Colorado.
Jordan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Jordan has worked at 1 firm and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jake Austin | Jordan K Austin
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.
C AND E HOLDINGS. ST. PAUL, MN. PASSIVE CO-PARTNER WITH SPOUSE ON APARTMENTS BUILDINGS BUILT BY A FAMILY MEMBER. GRACE PLACE CHURCH POSITION: Trustee NATURE: Grace Place Church is affiliated with the Evangelical Convenant Church. It's mission is to Break Barriers, Build Bridges and Bring Hope. Approximately 1,000 people call Grace Place their home church and it is growing at approximately 10% per year. The Board of Trustees is charged with leading Grace Place's legal non-profit corporate structure INVESTMENT RELATED: No NUMBER OF HOURS: 12 SECURITIES TRADING HOURS: 4 START DATE: 01/28/2018 ADDRESS: 375 Meadowlark Drive, Berthoud CO 80513, United States DESCRIPTION: There are 7 Trustees who are collectively charged with leading Grace Place's legal non-profit corporate structure, including, but not limited to: (1) creating and reviewing the annual budget and monthly finance reports (2) setting salaries for senior staff; (3) Oversight of corporate property and assets; and (4) providing ongoing review and support of the lead pastor HARVEST HEIGHTS HOA POSITION: President NATURE: Home Owner's Assocation of 14 homes and a church in a small neighborhood. The HOAs primary responsibility is to maintain the private neighborhood road. The HOA board also serves as the architectural approval board. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/23/2025 ADDRESS: 3667 Nations Way, Berthoud CO 80513, United States DESCRIPTION: The President serves as one of three members of the HOA board. That board approves architectural changes per the HAO covenants. It also oversees collection of money to be used for road maintenance.
CRS (Client Relationship Summary) - RIA
Click below to view Jordan Kent Austin's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jordan Kent Austin'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
August 12, 2009 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #2: 4848 Thompson Pkwy, Johnstown, CO 80534RIA
BD
CRD#: 18387
Berthoud, CO
Current
July 22, 2009 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 4848 Thompson Pkwy, Johnstown, CO 80534RIA
BD
CRD#: 18387
Johnstown, CO
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(11/12/2021)
RR
Alaska(6/27/2014)
RR
Arizona(6/26/2017)
RR
California(6/27/2014)
RR
Colorado(8/12/2009)
IAR
Colorado(8/12/2009)
RR
Florida(10/10/2011)
RR
Indiana(5/6/2025)
RR
Iowa(2/7/2020)
RR
Kansas(7/22/2014)
RR
Massachusetts(7/12/2021)
RR
Michigan(5/16/2025)
RR
Minnesota(4/27/2010)
RR
Missouri(11/30/2020)
RR
Nebraska(6/27/2014)
RR
Nevada(11/30/2020)
RR
New Mexico(6/22/2020)
RR
North Dakota(7/8/2014)
RR
Oklahoma(6/27/2014)
IAR
Oklahoma(7/9/2014)
RR
Pennsylvania(1/24/2018)
RR
South Carolina(5/30/2018)
RR
South Dakota(6/1/2010)
RR
Texas(6/1/2010)
IAR
Texas(6/1/2010)
RR
Utah(6/9/2023)
RR
Virginia(1/28/2019)
RR
Washington(6/1/2010)
RR
Wisconsin(3/3/2011)
RR
Wyoming(6/27/2014)
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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
