TG
Travis R. Goodman
THRIVENT INVESTMENT MANAGEMENT
Newberry, SC 29108
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CRD#: 6190065
TG
Professional summary
Travis Ray Goodman is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Newberry, South Carolina.
Travis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Travis 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
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.
INDEPENDENT FLOORING INSPECTOR POSITION: Independent Inspector NATURE: Inspect Flooring installations to report to manufacturer if customer has issues with installation, performance or quality of product. INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 5 START DATE: 02/01/2023 ADDRESS: 1041 Pineglade Ct., Chapin SC 29036, United States DESCRIPTION: Take pictures, measurements and submit to the manufacturer for review. MT HOREB LUTHERAN CHURCH POSITION: Council Member NATURE: Church Council Member INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 01/13/2013 ADDRESS: 101 E Boundary St, Chapin SC 29036, United States DESCRIPTION: Vote on general church business. NEWBERRY FRIENDLY ROADRUNNERS TRAVEL CLUB POSITION: President NATURE: This is travel club for primarily senior citizens and recent retirees. They take charter bus trips to different destinations in the continental US. INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 04/01/2023 ADDRESS: 2502 Harrington St., Newberry SC 29108, United States DESCRIPTION: The President acts as an MC during our monthly meeting. They greet the audience, lead the group in the Pledge of Allegiance and call on other officers to give reports to the Chapter (Secretary, Treasurer, Trip Coordinator). Gives a sick report for existing members, recognizes birthdays and anniversaries. Says a blessing before the meal if no one voluteers.
CRS (Client Relationship Summary) - RIA
Click below to view Travis Ray Goodman's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Travis Ray Goodman'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 29, 2022 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 1108 Harrington Street, Newberry, SC 29108RIA
BD
CRD#: 18387
Newberry, SC
Current
June 4, 2013 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 1108 Harrington Street, Newberry, SC 29108RIA
BD
CRD#: 18387
Newberry, SC
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
Louisiana(2/1/2024)
RR
North Carolina(6/4/2024)
RR
South Carolina(6/24/2013)
IAR
South Carolina(8/29/2022)
RR
Texas(2/1/2024)
IAR
Texas(2/1/2024)
RR
Virginia(5/25/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 8/2/2024
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.
