Brent M. Fassett
THRIVENT INVESTMENT MANAGEMENT
Baxter, MN 56425
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CRD#: 5698669
Professional summary
Brent Michael Fassett, CFP® is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Baxter, Minnesota.
Brent is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Brent has worked at 1 firm and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
PRINCE OF PEACE EVANGELICAL LUTHERAN CHURCH POSITION: Elder NATURE: A congregation with the goal of sharing God's word with each other and to share the Gospel with our community. INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2021 ADDRESS: 6311 Mildred Rd, Baxter MN 56425, United States DESCRIPTION: My responsibility is to assist the Pastor of our church with spiritual leadership. This means to be a sounding board for challenges as well as successes he is having. Also I assist in the services of our church every three months by doing ushering duties and occasionally assisting in distributing communion. LUTHERAN ISLAND CAMP & CHRIST SERVE RANCH POSITION: Board Member / Vice Chair NATURE: Lutheran Island Camp and Christ Serve Ranch are joint ministries sharing one board whose mission it is to operate facilities and summer camp programming for youth ranging from preschool through high school, with a particular focus on sharing the Gospel with guests and campers. The goal of Christ Serve Ranch is to share a message of caring for God's creation and to educate guests and others about God's role in the environment and our relation to it. INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 1 START DATE: 04/06/2020 ADDRESS: 45011 230th St, Henning MN 56551, United States DESCRIPTION: My duties will be to serve on the Camp board, and to provide guidance on the opportunities and challenges the camp is faced with. I will participate in board meetings quarterly during business hours, but the remainder of my duties will be responding to emails and sharing opinions and guidance along with other board members.Additionally, I have been asked to serve as Vice-Chair of the Board of Directors. My additional duties would be 2-5 hoursof volunteer time per quarter in preparation for and follow up after our quarterly meetings. These hours will be spent coordinating with and learning from our Executive Director and other Board members in the performance of their duties.?I may have responsibilities in assisting the camp's Board of Directors making simple decisions regarding cash flow, such as which bank account (non-Thrivent) to use, etc, or debts to consider. As it relates to business matters, the board recognizes that at most, I am able to provide broad education on issues relating to investment management, protection planning and executive compensation, etc. I would recuse myself from votes on any investment or related decisions. I will not be serving the Board nor the Camp as their financial advisor in any way.
CRS (Client Relationship Summary) - RIA
Click below to view Brent Michael Fassett's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Brent Michael Fassett'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®
CFP®
Start date: 2016
Experience
Current
December 19, 2013 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 14391 Edgewood Dr, Baxter, MN 56425Office #2: 800 Minnesota Ave, Walker, MN 56484RIA
BD
CRD#: 18387
Baxter, MN
Current
October 26, 2009 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 14391 Edgewood Dr, Baxter, MN 56425Office #2: 800 Minnesota Ave, Walker, MN 56484RIA
BD
CRD#: 18387
Baxter, MN
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
Alaska(6/7/2021)
RR
Arizona(8/6/2012)
RR
California(6/4/2021)
RR
Georgia(3/24/2023)
RR
Illinois(7/22/2014)
RR
Iowa(9/6/2018)
RR
Minnesota(10/26/2009)
IAR
Minnesota(12/19/2013)
RR
Montana(1/2/2020)
RR
North Carolina(3/31/2014)
RR
North Dakota(8/6/2012)
RR
South Dakota(6/2/2015)
RR
Tennessee(1/19/2024)
RR
Utah(2/19/2014)
RR
Wisconsin(8/6/2012)
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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