PL
Philip A. Leshock
THRIVENT INVESTMENT MANAGEMENT
Exton, PA 19341
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CRD#: 6171434
PL
Professional summary
Philip Andrew Leshock is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Exton, Pennsylvania.
Philip is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Philip has worked at 1 firm and has passed the Series 66, Series 6TO, 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.
MY WIFE AND I JOINTLY OWN AND MANAGE TWO RENTAL PROPERTIES. ONE IS COMPRISED OF TWO RENTED UNITS. ONE UNIT IS A GARAGE APARTMENT DETACHED FROM THE MAIN RESIDENCE. THE MAIN RESIDENCE ITSELF IS THE OTHER UNIT. BOTH ARE LOCATED AT 201 PENN AVENUE, WILMINGTON, DE. THE OTHER PROPERTY WAS MY WIFE KATHRYN'S PRINCIPLE RESIDENCE BEFORE WE WERE MARRIED. THIS SECOND PROPERTY IS LOCATED AT 114 EAST BARNARD STREET, WEST CHESTER, PA. BOTH PROPERTIES (ALL THREE UNITS) GENERATE RENTAL INCOME. NEITHER BUSINESS IS INVESTMENT RELATED. THE RENTAL PROPERTIES ARE LOCATED AT 201 PENN AVE, WILMINGTON, DE (INCLUDING 201A) AND 419 E BARNARD ST, WEST CHESTER, PA, RESPECTIVELY. IN SOME RESPECTS, I ACT AS PROPERTY MANAGER FOR BOTH THE GARDEN APARTMENT 201A AND THE RESIDENCE AT 419 E BERNARD , IN THAT, AS LANDLORD, I AM RESPONSIBLE FOR MINOR REPAIRS, UPKEEP, AND MAINTENANCE. MORE SIGNIFICANT REPAIRS AND MAINTENANCE ARE PERFORMED BY OUTSIDE CONTRACTORS. NEITHER ADDRESS DEMANDS MUCH OF MY TIME. THE DEMANDS ON MY TIME ARE MINIMAL AND MY OBLIGATIONS DO NOT OCCUR DURING SECURITIES TRADING HOURS. I HAVE ACTED IN THIS CAPACITY AND MAINTAINED OWNERSHIP OF THE 201 PENN ADDRESS SINCE 1995. I HAVE OWNED AND MANAGED THE PROPERTY AT 419 E BARNARD SINCE 2010. IN MY CAPACITY AS PROPERTY MANAGER/LANDLORD, I SPEND ABOUT AN HOUR OR TWO EVERY COUPLE OF MONTHS AND ONLY REALLY AFTER HOURS OR ON WEEK-ENDS. THE RENTAL OF THE MAIN RESIDENCE AT 201 PENN AVENUE IS MANAGED BY REALTY FORCE, A PROPERTY MANAGEMENT COMPANY. I HAVE ENTERED INTO A CONTRACTUAL AGREEMENT WITH REALTY FORCE TO FIND PROSPECTIVE LESSORS, MANAGE AND MAINTAIN THE PROPERTY. I HAVE NOT AND WILL NOT HAVE A LANDLORD/TENANT RELATIONSHIP WITH ANY MEMBERS OR CLIENTS OF THRIVENT FINANCIAL FOR LUTHERANS, NOR WILL I ENTER INTO A CLIENT RELATIONSHIP OR CONDUCT ANY INSURANCE OR SECURITIES BUSINESS WITH EMPLOYEES OF REALTY FORCE OR PERSONS ASSOCIATED WITH EITHER REALTY FORCE ANY OF MY RENTAL PROPERTIES.
CRS (Client Relationship Summary) - RIA
Click below to view Philip Andrew Leshock's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Philip Andrew Leshock'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 30, 2013 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 300 N Pottstown Pike, Exton, PA 19341RIA
BD
CRD#: 18387
Exton, PA
Current
August 2, 2013 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 300 N Pottstown Pike, Exton, PA 19341RIA
BD
CRD#: 18387
Exton, PA
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
Colorado(6/10/2015)
RR
Delaware(8/30/2013)
RR
Florida(1/5/2015)
RR
Maryland(1/5/2015)
RR
Minnesota(2/3/2023)
RR
New Jersey(11/18/2014)
RR
New Mexico(6/10/2015)
RR
North Carolina(5/10/2021)
RR
Oklahoma(5/18/2023)
IAR
Oklahoma(5/18/2023)
RR
Pennsylvania(9/16/2013)
IAR
Pennsylvania(6/11/2014)
RR
Texas(1/5/2015)
IAR
Texas(1/5/2015)
RR
Virginia(1/5/2015)
RR
Wisconsin(11/3/2017)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts 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.
