BK
Brian C. Kapka
THRIVENT INVESTMENT MANAGEMENT
Belmond, IA 50421
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CRD#: 6033618
BK
Professional summary
Brian Charles Kapka is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Belmond, Iowa.
Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Brian 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.
FARM, SCHEDULE F ON TAXES POSITION: Owner/Farmer NATURE: Farming operations include cattle, selling firewood, and CRP/cash rent. INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 2 START DATE: 01/17/2020 ADDRESS: 2381 Washington Ave, Dows IA 50071, United States DESCRIPTION: Jobs that occur with a hobby farm, in the future may include feeding livestock, fencing, maintaining pasture/CRP land, and other task associated with a hobby farm. RENTAL PROPERTY POSITION: Owner NATURE: The property contains spaces for a coffee shop, and professional office space for rent. The coffee shop space is rented by Jitter's Coffee Shop and the office space is rented tomy business (Thrivent)and All Things Advertising. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2019 ADDRESS: 130 4th Street SW, Mason City IA 50401, United States DESCRIPTION: Help coordinate if any problems arise for any of the renters. Make sure a plumber/contractor is called if any needs arise. FKFS INC POSITION: Co-Owner NATURE: The LLC owns the office building used for Thrivent business. Extra Space is rented out to non-Thrivent related businesses. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 06/23/2017 ADDRESS: 248 E Main St, Belmond IA 50421, United States DESCRIPTION: No major duties or responsibilites. It's primary purpose is a way to equally share office/business expenses for shared staff.
CRS (Client Relationship Summary) - RIA
Click below to view Brian Charles Kapka's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Brian Charles Kapka'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
June 7, 2012 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 248 E Main, Belmond, IA 50421Office #2: 130 4th St Sw, Mason City, IA 50401RIA
BD
CRD#: 18387
Belmond, IA
Current
May 22, 2012 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 248 E Main, Belmond, IA 50421Office #2: 130 4th St Sw, Mason City, IA 50401RIA
BD
CRD#: 18387
Belmond, IA
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
Arizona(9/14/2017)
RR
Arkansas(7/12/2018)
RR
Colorado(6/4/2018)
RR
Florida(2/16/2017)
RR
Georgia(4/5/2013)
RR
Illinois(9/14/2017)
RR
Indiana(9/10/2013)
RR
Iowa(6/7/2012)
IAR
Iowa(6/7/2012)
RR
Kansas(6/15/2015)
RR
Maine(9/30/2019)
RR
Michigan(7/29/2013)
RR
Minnesota(1/9/2014)
RR
Missouri(3/7/2016)
RR
North Dakota(7/29/2013)
RR
South Dakota(4/21/2022)
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
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.
