Maxime K. Shaughnessy

THRIVENT ASSET MANAGEMENT

Minneapolis, MN 55402

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CRD#: 6154667

Professional summary

Maxime Killian Shaughnessy, CFP®, who also goes by Maxime K Shaughnessy, Maxime K Shaugnessy, Maxime Shaughnessy, is a registered financial advisor currently at THRIVENT ASSET MANAGEMENT, LLC located in Minneapolis, Minnesota and THRIVENT DISTRIBUTORS, LLC located in Minneapolis, Minnesota.

Maxime is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Maxime has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Maxime K Shaughnessy | Maxime K Shaugnessy | Maxime Shaughnessy

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Maxime Killian Shaughnessy'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^®

Certified Financial Planner

Experience

Current

July 8, 2019 - Present

THRIVENT ASSET MANAGEMENT, LLC

Office #1: 901 Marquette Aveue Suite 2500, Minneapolis, MN 55402

RIA

CRD#: 137751

Minneapolis, MN

Current

January 16, 2019 - Present

THRIVENT DISTRIBUTORS, LLC

Office #1: 901 Marquette Avenue Suite 2500, Minneapolis, MN 55402-3265

CRD#: 179512

Minneapolis, MN

Past

January 15, 2019 - June 13, 2019

THRIVENT INVESTMENT MANAGEMENT INC.

RIA

CRD#: 18387

MINNEAPOLIS, MN

Past

January 15, 2019 - June 13, 2019

THRIVENT INVESTMENT MANAGEMENT INC.

CRD#: 18387

MINNEAPOLIS, MN

Past

April 12, 2017 - August 30, 2018

LOCORR DISTRIBUTORS, LLC

CRD#: 41782

EXCELSIOR, MN

Past

June 24, 2016 - February 23, 2017

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

MINNEAPOLIS, MN

Past

June 14, 2016 - February 23, 2017

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

April 10, 2013 - September 1, 2015

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

MINNEAPOLIS, MN

Past

February 28, 2013 - September 1, 2015

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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".

THRIVENT ASSET MANAGEMENT, LLC

THRIVENT ASSET MANAGEMENT LLC | THRIVENT ASSET MANAGEMENT, LLC

CRD#: 137751 / SEC#: 801-64988

RIA

Registered Investment Advisory firm - (12/15/2005 Approved)

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.

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

Alabama
(1/18/2019)

Alaska
(1/18/2019)

Arizona
(1/18/2019)

Arkansas
(1/18/2019)

California
(1/18/2019)

Colorado
(1/18/2019)

Connecticut
(1/18/2019)

Delaware
(1/18/2019)

District of Columbia
(1/18/2019)

Florida
(1/18/2019)

Georgia
(1/18/2019)

Hawaii
(1/18/2019)

Idaho
(1/18/2019)

Illinois
(1/18/2019)

Indiana
(1/18/2019)

Iowa
(1/18/2019)

Kansas
(1/18/2019)

Kentucky
(1/18/2019)

Louisiana
(1/18/2019)

Maine
(1/18/2019)

Maryland
(1/18/2019)

Massachusetts
(1/18/2019)

Michigan
(1/18/2019)

Minnesota
(1/16/2019)

IAR

Minnesota
(7/8/2019)

Mississippi
(1/18/2019)

Missouri
(1/18/2019)

Montana
(1/18/2019)

Nebraska
(1/18/2019)

Nevada
(1/18/2019)

New Hampshire
(1/18/2019)

New Jersey
(1/18/2019)

New Mexico
(1/18/2019)

New York
(1/18/2019)

North Carolina
(1/18/2019)

North Dakota
(1/18/2019)

Ohio
(1/18/2019)

Oklahoma
(1/18/2019)

Oregon
(1/18/2019)

Pennsylvania
(1/18/2019)

Rhode Island
(1/18/2019)

South Carolina
(1/18/2019)

South Dakota
(1/18/2019)

Texas
(1/18/2019)

Utah
(1/18/2019)

Vermont
(1/18/2019)

Virginia
(1/18/2019)

Washington
(1/18/2019)

West Virginia
(1/18/2019)

Wisconsin
(1/18/2019)

Wyoming
(1/18/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/17/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/2/2013

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 8/30/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/26/2013

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

THRIVENT ASSET MANAGEMENT, LLC

THRIVENT ASSET MANAGEMENT LLC | THRIVENT ASSET MANAGEMENT, LLC

CRD#: 137751 / SEC#: 801-64988

RIA

Registered Investment Advisory firm - (12/15/2005 Approved)

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Contact information

Main Address

901 Marquette Avenue Suite 2500, Minneapolis, MN 55402-3211

Mailing Address

Phone number

(800) 847-4836

Established

Firm type

Fiscal year end

# of Employees

450

SEC notice filing (2 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

THRIVENT ASSET MANAGEMENT LLC BROCHURE 03/31/2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	31
AUM (Assets Under Management)	$ 46,815,882,100

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.

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Firm Stability Insights

Maxime K. Shaughnessy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Maxime Killian Shaughnessy's CRS (Customer Relationship Summary).

Certified licenses

Experience

THRIVENT DISTRIBUTORS, LLC

THRIVENT INVESTMENT MANAGEMENT INC.

THRIVENT INVESTMENT MANAGEMENT INC.

LOCORR DISTRIBUTORS, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

THRIVENT ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/17/2016

Series 63

Date: 3/2/2013

SIE

Date: 8/30/2018

Series 7

Date: 2/26/2013

FINRA

Current Firm

THRIVENT ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

THRIVENT ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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