AW
Aaron A. Wilks
THRIVENT INVESTMENT MANAGEMENT
Shelby Twp, MI
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CRD#: 5845728
AW
Professional summary
Aaron Alfred Wilks is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Shelby Twp, Michigan.
Aaron is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Aaron has worked at 2 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 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.
VILLAS OF FLORIDA #2 LLC 6670 SIMS STERLING HEIGHTS, MI 48313 GENERAL PARTNER THIS LLC IS AN INVESTMENT IN A RENTAL PROPERTY STARTING 01/2006 TO THE PRESENT 3 HOURS DURING THE MONTH DURING NON TRADING HOURS REVIEWING FINANCIAL STATEMENTS AND MAKING DECISIONS REGARDING THE PROPERTY WITH PARTNERS PEACE LUTHERAN CHURCH POSITION: Comptroller NATURE: Overlooking the accounting for the church. INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 2 START DATE: 12/15/2019 ADDRESS: 6580 24 Mile Rd., Shelby Township MI 48316, United States DESCRIPTION: a. Have oversight of the budget preparation process, the financial reviews/audits, and payments of any bills. b. Submit regular financial reports required by the Board of Directors or Voter's Assembly. c. Assure the proper recording of receipts and disbursements. d. Arrange for the surety bond as determined by the Board of Directors. DE LA SALLE COLLEGIATE HIGH SCHOOL POSITION: Assistant bowling coach NATURE: Assistant bowling coach for high school bowling team. INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 10 START DATE: 11/14/2024 ADDRESS: 14600 Common Rd., Warren MI 48088, United States DESCRIPTION: Assist with coaching during bowling practices, meets, and tournaments.
CRS (Client Relationship Summary) - RIA
Click below to view Aaron Alfred Wilks's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Aaron Alfred Wilks'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 27, 2012 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #2: 14460 Lakeside Circle, Sterling Heights, MI 48313RIA
BD
CRD#: 18387
Shelby Twp, MI
Current
June 1, 2011 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 14460 Lakeside Circle, Sterling Heights, MI 48313RIA
BD
CRD#: 18387
Sterling Heights, MI
Past
January 12, 2011 - May 31, 2011
PFS INVESTMENTS INC.
BD
CRD#: 10111
PORT HURON, MI
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
California(1/20/2016)
RR
Colorado(3/7/2022)
RR
Florida(1/4/2018)
RR
Indiana(1/20/2016)
RR
Kentucky(11/11/2022)
RR
Massachusetts(7/29/2021)
RR
Michigan(6/1/2011)
IAR
Michigan(11/27/2012)
RR
Missouri(1/22/2024)
RR
New York(10/4/2021)
RR
North Carolina(11/11/2022)
RR
Ohio(5/2/2016)
RR
Pennsylvania(6/21/2023)
RR
Tennessee(3/6/2024)
RR
Texas(1/20/2016)
IAR
Texas(1/22/2016)
RR
Virginia(9/1/2020)
RR
Wisconsin(3/7/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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
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.
