Christopher G. Smiley
THRIVENT INVESTMENT MANAGEMENT
Overland Park, KS 66210
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CRD#: 6012817
Professional summary
Christopher Gerard Smiley, CFP®, who also goes by Christopher Gerard Smiley, Christopher Smiley, is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Overland Park, Kansas.
Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Christopher has worked at 4 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Christopher Gerard Smiley | Christopher Smiley
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.
UNITED STATES ARMY RESERVE POSITION: Engineer Officer NATURE: Reserve (Part-time) Military Duty INVESTMENT RELATED: No NUMBER OF HOURS: 16 SECURITIES TRADING HOURS: 0 START DATE: 11/21/2002 ADDRESS: 15303 Andrews Rd., Kansas City MO 64147, United States DESCRIPTION: Various leadership and/or administrative duties based on position and assignments that change from time to time. Generally, provide organizational management, supervision, instruction, and planning for teams and military projects.
CRS (Client Relationship Summary) - RIA
Click below to view Christopher Gerard Smiley's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Christopher Gerard Smiley'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: 2023
Experience
Current
January 13, 2022 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 7400 College Blvd, Overland Park, KS 66210RIA
BD
CRD#: 18387
Overland Park, KS
Current
January 13, 2022 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 7400 College Blvd, Overland Park, KS 66210RIA
BD
CRD#: 18387
Overland Park, KS
Past
May 6, 2014 - January 12, 2022
VALIC FINANCIAL ADVISORS, INC.
RIA
CRD#: 42803
OVERLAND PARK, KS
Past
May 6, 2014 - January 12, 2022
VALIC FINANCIAL ADVISORS, INC.
BD
CRD#: 42803
OVERLAND PARK, KS
Past
July 11, 2013 - October 16, 2013
WADDELL & REED
RIA
CRD#: 866
INDEPENDENCE, MO
Past
July 11, 2013 - October 16, 2013
WADDELL & REED
BD
CRD#: 866
INDEPENDENCE, MO
Past
April 23, 2012 - June 28, 2013
EDWARD JONES
RIA
CRD#: 250
PLATTE CITY, MO
Past
February 8, 2012 - June 28, 2013
EDWARD JONES
BD
CRD#: 250
PLATTE CITY, MO
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(7/23/2024)
RR
Arizona(5/16/2022)
RR
Arkansas(5/16/2022)
RR
California(1/19/2022)
RR
Colorado(7/19/2023)
RR
Connecticut(6/28/2022)
RR
Delaware(6/28/2022)
RR
Florida(1/19/2022)
RR
Illinois(5/16/2022)
RR
Indiana(5/16/2022)
RR
Iowa(4/13/2023)
RR
Kansas(1/19/2022)
IAR
Kansas(5/16/2025)
RR
Kentucky(5/17/2022)
RR
Maryland(9/13/2024)
RR
Michigan(5/16/2022)
RR
Minnesota(9/19/2025)
RR
Missouri(1/13/2022)
IAR
Missouri(1/13/2022)
RR
Montana(9/28/2023)
RR
Nebraska(1/19/2022)
RR
Nevada(9/19/2025)
RR
North Carolina(9/24/2024)
RR
North Dakota(3/20/2023)
RR
Oklahoma(5/16/2022)
IAR
Oklahoma(5/17/2022)
RR
Oregon(7/5/2024)
RR
Pennsylvania(5/16/2025)
RR
South Dakota(9/19/2025)
RR
Tennessee(5/16/2022)
RR
Texas(5/16/2022)
IAR
Texas(5/16/2022)
RR
Virginia(6/13/2022)
RR
Washington(5/16/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
THRIVENT INVESTMENT MANAGEMENT INC.
CRD#: 18387Overland Park, KS 66210TRUST BUT VERIFY
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