DC
David J. Carlisle
THRIVENT INVESTMENT MANAGEMENT
Pleasanton, CA 94566
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CRD#: 6371754
DC
Professional summary
David James Carlisle, who also goes by Dave J Carlisle, is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Pleasanton, California.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. David has worked at 1 firm and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dave J Carlisle
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.
CUB SCOUTS - PACK 914 IN LIVERMORE POSITION: Committee Chairman of Pack 914 NATURE: Cub Scouts is for boys and girls, kindergarten to 5th grade. It is a program where youth develop the foundations for leadership, citizenship, and personal fitness through fun activities involving parents and legal guardians. Cub Scouting designates participants into groups based on grade and gender before participating in activities. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2021 ADDRESS: 1325 W. Walnut Hill Lane, Irving TX 75038, United States DESCRIPTION: To make Cub Scouting work it takes a team made up of each Cub Scout's parent or guardian and other caring adults who agree to take on roles that best fit their individual talents. Together this team makes up the Pack Committee.The Pack Committee Chairhelps the Cubmaster oversee the Pack Committee as they provide support to Den Leaders to ensure a quality program. BOY SCOUTS - TROOP 924 IN LIVERMORE POSITION: Assistant Scoutmaster NATURE: Boy Scouts of America provides the nation's foremost youth program of character development and values-based leadership training, which helps young people be "Prepared. For Life". The mission of the Boy Scouts of America is to prepare young people to make ethical and moral choices over their lifetimes by instilling in them the values of the Scout Oath and Scout Law. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 03/18/2025 ADDRESS: 1325 W.Walnut Hill Lane, Irving TX 75038, United States DESCRIPTION: An assistant Scoutmaster is an adult leader over the age of 18 who helps the Scoutmaster deliver the promise of Scouting. Each assistant Scoutmaster is assigned specific program duties. They can serve the Troop by guiding a particular patrol to which they've been assigned, advising certain Scouts who've assumed a position, or fill in as necessary to assure the junior leaders have what they need to run things.
CRS (Client Relationship Summary) - RIA
Click below to view David James Carlisle's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David James Carlisle'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
January 27, 2015 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 7011 Koll Center Pkwy, Pleasanton, CA 94566RIA
BD
CRD#: 18387
Pleasanton, CA
Current
December 22, 2014 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 7011 Koll Center Pkwy, Pleasanton, CA 94566RIA
BD
CRD#: 18387
Pleasanton, CA
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
Arizona(5/30/2024)
RR
California(1/27/2015)
IAR
California(1/27/2015)
RR
Colorado(3/12/2025)
RR
Florida(3/14/2024)
RR
Idaho(7/3/2024)
RR
Illinois(6/9/2025)
RR
Kansas(2/12/2024)
RR
Nevada(3/14/2024)
RR
North Carolina(3/12/2025)
RR
Oregon(3/7/2024)
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.
