CS
Christopher T. Smith
THRIVENT INVESTMENT MANAGEMENT
Cedar Springs, MI
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CRD#: 6094690
CS
Professional summary
Christopher T Smith, who also goes by Christopher Thaddeus Smith Jr, Christopher Thaddeus Smith, is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Cedar Springs, Michigan.
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 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Christopher Thaddeus Smith Jr | Christopher Thaddeus Smith
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.
[Insurance Brokering; appointed with outside carriers for the purpose of brokering non-registered insurance products; 333 Bridge St. NW, Suite 600, Grand Rapids, MI 49504; Start Date 01/2020; Role/Title: Insurance Broker; Investment Related; 24 hours per month; 20 hours per month during securities trading hours, 4 hours during non-trading] ?the name of the other business: Rotary Club ?whether the business is investment-related; Not investment-related ?the address of the other business; 1345 Monroe Ave, Grand Rapids, MI ?the nature of the other business; Philanthropic/Service ?your position; Member ?title, or relationship with the other business; Member ?the start date of your relationship; November 2022 ?the approximate number of hours/month you devote to the other business; 5 hours ?the number of hours you devote to the other business during securities trading hours; 5 hours ?and briefly describe your duties relating to the other business; Attend meetings, help with service projects ?the name of the other business: Cedar Springs Elementary PTO ?whether the business is investment-related; Not investment-related ?the address of the other business; 204 E. Muskegon St., Cedar Springs, MI 49319 ?the nature of the other business; Parent-Teacher organization serving students and community ?your position; President ?title, or relationship with the other business; President ?the start date of your relationship; April 2020 ?the approximate number of hours/month you devote to the other business; 4 ?the number of hours you devote to the other business during securities trading hours; 0 ?and briefly describe your duties relating to the other business; Run meetings, manage projects, volunteer for activities in community
CRS (Client Relationship Summary) - RIA
Click below to view Christopher T Smith's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Christopher T Smith'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
May 22, 2023 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #2: 1550 East Beltline Avenue Southeast, Grand Rapids, MI 49506RIA
BD
CRD#: 18387
Cedar Springs, MI
Current
May 22, 2023 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 1550 East Beltline Avenue Southeast, Grand Rapids, MI 49506RIA
BD
CRD#: 18387
Grand Rapids, MI
Past
October 18, 2022 - February 28, 2023
INNOVIA WEALTH, LLC
RIA
CRD#: 289913
GRAND RAPIDS, MI
Past
October 17, 2016 - October 13, 2022
EAGLE STRATEGIES LLC
RIA
CRD#: 110826
ROCKFORD, MI
Past
December 22, 2014 - October 13, 2022
NYLIFE SECURITIES LLC
BD
CRD#: 5167
ROCKFORD, MI
Past
February 27, 2014 - December 12, 2014
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
FLINT, MI
Past
February 24, 2014 - December 12, 2014
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
FLINT, MI
Past
November 13, 2012 - February 21, 2014
EDWARD JONES
RIA
CRD#: 250
FENTON, MI
Past
August 29, 2012 - February 21, 2014
EDWARD JONES
BD
CRD#: 250
FENTON, 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(3/14/2025)
RR
Colorado(9/23/2024)
RR
Florida(2/12/2024)
RR
Illinois(11/7/2023)
RR
Indiana(7/17/2024)
RR
Kentucky(7/17/2024)
RR
Michigan(5/22/2023)
IAR
Michigan(5/22/2023)
RR
Missouri(3/14/2025)
RR
New Jersey(7/17/2024)
RR
Ohio(9/24/2024)
RR
South Carolina(9/23/2024)
RR
Tennessee(11/19/2024)
RR
Texas(7/17/2024)
IAR
Texas(7/17/2024)
RR
Virginia(7/24/2025)
RR
Wisconsin(12/6/2024)
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.
