Erik L. Haworth
THRIVENT INVESTMENT MANAGEMENT
Janesville, WI 53545
Some features on this profile are disabled
CRD#: 6252920
Professional summary
Erik Lowell Haworth, CFP® is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Janesville, Wisconsin.
Erik is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Erik has worked at 1 firm and has passed the Series 66, 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.
KIWANIS CLUB OF MONROE POSITION: Treasurer NATURE: Kiwanis is a global organization of volunteers dedicated to improving the world, one child and one community at a time. We support local activities in whichyouth are involved.Our funding comes from membership dues, fundraising efforts, etc. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 2 START DATE: 10/01/2016 ADDRESS: 1627 12th Ave, Monroe WI 53566 DESCRIPTION: I will be providing duties associated with a treasurer with the exception of handling money and paying bills. Those activities will still be fulfilled by former treasurer. I will be providing reports on financial activities of the club--tracking inflow and outflow of funds as well as account balances. TRAIL LIFE USA POSITION: Committee Chair NATURE: Trail Life USA is a Christian-based outdoor adventure and character development organization for boys. It aims to help boys grow in their faith, leadership, and life skills through a variety of outdoor activities, mentoring, and service projects. The program focuses on building character, promoting strong family values, and providing opportunities for boys to develop physical, mental, and spiritual strength. Trail Life USA offers different levels of programs for boys from kindergarten through high school. INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 09/18/2025 ADDRESS: 222 Old Argyle Rd, Monroe WI 53566, United States DESCRIPTION: A Troop Leader in Trail Life USA plays a key role in guiding and mentoring boys within the troop. Their responsibilities include: Spiritual and Moral Guidance: Encouraging boys in their Christian faith and helping them live out the organization's values.Activity Planning and Supervision: Organizing and leading outdoor adventures, service projects, and other activities that promote skill development and character building.Mentorship: Providing personal leadership and guidance, helping boys grow in leadership skills, responsibility, and teamwork.Safety and Logistics: Ensuring all activities are safe and well-prepared, including overseeing the physical well-being of the boys during outings.Communication with Parents: Keeping parents informed about the troop's activities, progress, and any needs or concerns.Overall, a Troop Leader is responsible for fostering a supportive and structured environment where boys can develop their faith, character, and outdoor skills.
CRS (Client Relationship Summary) - RIA
Click below to view Erik Lowell Haworth's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Erik Lowell Haworth'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®
Start date: 2018
Experience
Current
December 19, 2013 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 1 Parker Place, Janesville, WI 53545RIA
BD
CRD#: 18387
Janesville, WI
Current
November 14, 2013 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 1 Parker Place, Janesville, WI 53545RIA
BD
CRD#: 18387
Janesville, WI
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
Florida(10/10/2019)
RR
Illinois(11/20/2014)
RR
Iowa(4/23/2019)
RR
Michigan(1/7/2021)
RR
Minnesota(4/29/2022)
RR
Ohio(8/31/2015)
RR
Texas(12/16/2022)
IAR
Texas(12/17/2022)
RR
West Virginia(10/19/2020)
RR
Wisconsin(12/19/2013)
IAR
Wisconsin(12/19/2013)
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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
