Katie Joyce Chase
Professional Summary
Katie Joyce Chase, who also goes by Katie Chase, Katie Joyce Ridley, is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Appleton, Wisconsin. Katie is registered as a RR (Registered Representative) and started their career in finance in 2009. Katie has worked at 2 firms and has passed the Series 63, Series 99TO, SIE, Series 6 and Series 26 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Katie Chase, Katie Joyce Ridley
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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.
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Years of Experience
17 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
AAL CAPITAL MANAGEMENT CORPORATION | THRIVENT INVESTMENT MANAGEMENT INC. | FORTRESS DISTRIBUTORS, INC. | AAL DISTRIBUTORS INC.
Contact Information
Main Address
600 Portland Avenue South, Minneapolis, MN 55415Mailing Address
600 Portland Avenue South, Minneapolis, MN 55415Phone Number
+1 (800) 847-4836Established
Delaware since 07/29/1986Firm Type
CorporationFiscal Year End
DecemberFirm Size
Large# of Employees
3,901SEC notice filing (51 States and Territories)
Registered to provide investment advisory services in 51 US states and territories.
FINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 51 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THRIVENT FINANCIAL HOLDINGS, INC. | OWNER | — |
| ASK, ERIC A | DIRECTOR | 5649938 |
| 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 |
| JOHNSTON, PAUL ROBERTS | DIRECTOR | 2065882 |
| KLOSTER, DAVID JACOB | PRESIDENT | 2523240 |
| NORGARD, ANDREW DYLAN | TREASURER | 6868385 |
| OHARA, BRANDON M | CHIEF COMPLIANCE OFFICER | 4798646 |
Regulatory Assets Under Management
Total Number of Accounts
54,503AUM (Assets Under Management)
$20,769,867,010Disclosures
Regulatory Event
8Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/22/2026 | Cover Page | Report |
| 01/22/2026 | Cover Page | Report |
| 10/21/2024 | Cover Page | Report |
| 01/25/2024 | Cover Page | Report |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
AAL CAPITAL MANAGEMENT CORPORATION | THRIVENT INVESTMENT MANAGEMENT INC. | FORTRESS DISTRIBUTORS, INC. | AAL DISTRIBUTORS INC.
State Registrations and Notice Filings
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Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Sep 2009About the Series 6 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Mar 2018About the Series 26 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Katie Joyce Chase's CRS (Customer Relationship Summary).
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