JM
James D. Mcnaughton
THRIVENT INVESTMENT MANAGEMENT
Newton, MA
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CRD#: 6082816
JM
Professional summary
James David Mcnaughton, who also goes by Dave Mcnaughton, David Mcnaughton, is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Newton, Massachusetts.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. James has worked at 1 firm and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dave Mcnaughton | David Mcnaughton
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.
URBAN ISLANDS PROJECT POSITION: BOARD OF DIRECTORS NATURE: I SERVE AS A BOARD MEMBER OF THE URBAN ISLANDS PROJECT, AN ORGANIZATION DEVOTED TO DEVELOPING NEW CHURCHES / FAITH COMMUNITIES IN STRATEGIC URBAN CENTERS THROUGHOUT THE UNITED STATES. INVESTMENT RELATED: NO NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 08/01/2014 ADDRESS: 1850 BASSETT STREET, DENVER CO 80202 DESCRIPTION: HELP SHAPE THE STRATEGY, AND PROVIDED ACCOUNTABILITY FOR THE DIRECTOR. PERIODICALLY I AM ASKED TO PROVIDE PRESENTATIONS ON BEHALF OF URBAN ISLANDS. NORTH TEXAS DISTRICT OF THE ASSEMBLIES OF GOD POSITION: LEADERSHIP COACH NATURE: MY OUTSIDE BUSINESS IS LEADERSHIP, EXECUTIVE AND ORGANIZATIONAL COACHING. THE FOCUS OF THIS ACTIVITY IS TO HELP LEADERS AND THE ORGANIZATIONS THAT THEY LEAD, TO MOVE FORWARD STRATEGICALLY TOWARD THEIR GOALS. I AM A MEMBER OF THE INTERNATIONAL COACH FEDERATION (ICF). AS A MEMBER OF ICF, I ADHERE TO ITS STANDARD OF COMPETENCIES AND ETHICS. I WORK PRIMARILY WITH CHURCH LEADERS AND LEADERS OF CHARITABLE ORGANIZATIONS. INVESTMENT RELATED: NO NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2013 ADDRESS: 5241 FM 66, P.O. BOX 838, WAXAHACHIE TX 75167 DESCRIPTION: DUTIES INCLUDE: COACHING AND STRATEGIC / TACTICAL THOUGHT PARTNERSHIP. PUBLIC SPEAKING: AS A PART OF MY DUTIES AS A COACH,I AM ASKED TO PROVIDE A CONSULTATION AND PRESENTATION AT A SUNDAY MORNING WORSHIP GATHERING IN THE LOCAL CHURCHES OF THE LEADERS WHO ARE BEING COACHING. THE LINK CHURCH POSITION: Pastor NATURE: I serve as a pastor and the directional leader of The Link Church. INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 0 START DATE: 02/01/2017 ADDRESS: P.O. Box 320380, Boston MA 02132 DESCRIPTION: I provide coaching and consultation for the leadership team. I provide sermons /or teachings at regular church services. ASSEMBLIES OF GOD MISSIONS POSITION: Leadership Coach NATURE: My outside business is Leadership, Executive and Organizational Coaching with ministers and ministry leaders. The focus of this activity is to help leaders and the organizations that they lead, to move forward strategicallytoward their goals. I ama member of the International Coach Federation (ICF). As a member of ICF, I adhere to its standard of competencies and ethics. I work primarily with Church Leaders and leaders of charitable orgainzations. INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2013 ADDRESS: 1445 N Boonville Ave, Springfield MO 65802, United States DESCRIPTION: Duties include:- coachingand strategic / tactical thought partnership.-public speaking: as a partof my duties as acoach,I am asked to provide a consultation andpresentation at a sunday morning worship gathering in thelocal churches of the leaderswho are being coaching.
CRS (Client Relationship Summary) - RIA
Click below to view James David Mcnaughton's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James David Mcnaughton'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
August 11, 2020 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #2: 3 Allied Dr, Dedham, MA 02026RIA
BD
CRD#: 18387
Newton, MA
Current
March 23, 2015 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 3 Allied Dr, Dedham, MA 02026RIA
BD
CRD#: 18387
Dedham, MA
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(6/28/2021)
RR
California(1/5/2024)
RR
Colorado(3/9/2020)
RR
Connecticut(5/12/2015)
RR
Florida(7/15/2016)
RR
Indiana(7/23/2025)
RR
Maine(7/15/2016)
RR
Maryland(6/22/2021)
RR
Massachusetts(4/6/2015)
IAR
Massachusetts(8/11/2020)
RR
Minnesota(4/21/2025)
RR
Missouri(3/9/2022)
RR
New Hampshire(5/12/2015)
RR
New Jersey(10/22/2020)
RR
New York(10/22/2020)
RR
North Carolina(10/22/2020)
RR
Ohio(3/10/2024)
RR
Oklahoma(1/8/2024)
IAR
Oklahoma(1/8/2024)
RR
Pennsylvania(2/16/2018)
RR
Rhode Island(5/12/2015)
RR
South Carolina(1/11/2024)
RR
Tennessee(6/22/2021)
RR
Texas(2/5/2016)
IAR
Texas(8/12/2020)
RR
Vermont(6/22/2021)
RR
Virginia(6/23/2021)
RR
West Virginia(10/22/2020)
IAR
West Virginia(10/23/2020)
RR
Wisconsin(8/22/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 6/17/2021
General Securities Representative ExaminationGeneral 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.
