RS
Ray A. Stark
THRIVENT INVESTMENT MANAGEMENT
Harrisburg, PA 17109
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CRD#: 6425514
RS
Professional summary
Ray Allan Stark is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Harrisburg, Pennsylvania.
Ray is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Ray 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.
HAND-TO-HAND MINISTRIES, LLC POSITION: Owner, Coach, Speaker and Trainer NATURE: I am an Indepent Certified Coach, Speaker, and Trainer with the John Maxwell Team. As such, I own my own consulting firm focusing on leadership development and ministry development (in the church setting). I do not work for the John Maxwell Team, but I am certified by them and authorized to utilize their intellectual property when speaking, coaching, or training with individuals, businesses, and churches. INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 0 START DATE: 08/01/2015 ADDRESS: 724 Hampton Court Road, Harrisburg PA 17112, United States DESCRIPTION: Keynote speaking, workshop presentations, coaching individuals and groups - all centered and focused around the topic of leadership development. RAY STARK POSITION: Self NATURE: Preaching/Pulpit Supply - as an ordained minister in the Church of the Nazarene, I am asked, on occasion, to preach in the absence of the pastor of a local church. This does not happen often, but it is a recurring possibility. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 10/08/2017 ADDRESS: 724 Hampton Court Road, Harrisburg PA 17112, United States DESCRIPTION: Occasional pulpit supply on a short-term basis(i.e. vacation, illness, etc.)or extended basis (i.e. during sabbatical, pastoral search process, etc). RENTAL PROPERTY POSITION: Part owner/manager NATURE: The focus of the OBA is to own and/or operate rental property in partnership with my wife, son, and daughter-in-law. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/21/2021 ADDRESS: 724 Hampton Court Road, Harrisburg PA 17112, United States DESCRIPTION: My responsibilities include helping prepare property for rental, consulting in management of property, and overseeing major repairs to property. My son and daughter-in-law have a 75% interest in this OBA and will handle the day-to-day operations and maintenance of the property. My wife and I will have a 25% interest and consult on management duties and oversee hiring for any major repairs. BETTER VENDING CO POSITION: Part Owner NATURE: This business is a vending company that provides machines with healthy snacks and drinks to local schools and businesses. The machines are maintained and stocked by the company. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 03/09/2024 ADDRESS: 1006 Rosary Tree Ct, Florissant MO 63031, United States DESCRIPTION: My wife is providing start-up capital and she and I each are 10% owners in the business. Other than weighing in on major decisions, I do not participate in the day-to-day operation of the business.
CRS (Client Relationship Summary) - RIA
Click below to view Ray Allan Stark's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Ray Allan Stark'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 30, 2018 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 4811 Jonestown Road, Harrisburg, PA 17109RIA
BD
CRD#: 18387
Harrisburg, PA
Current
January 8, 2018 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 4811 Jonestown Road, Harrisburg, PA 17109RIA
BD
CRD#: 18387
Harrisburg, 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
Alabama(5/13/2022)
RR
Delaware(2/19/2018)
RR
Florida(11/9/2020)
RR
Indiana(3/11/2022)
RR
Maryland(2/19/2018)
RR
Michigan(5/20/2022)
RR
Missouri(2/19/2018)
RR
New Jersey(2/19/2018)
RR
North Carolina(9/1/2022)
RR
Ohio(9/11/2018)
RR
Pennsylvania(1/30/2018)
IAR
Pennsylvania(1/30/2018)
RR
South Carolina(12/5/2022)
RR
Virginia(2/19/2018)
RR
Washington(5/16/2023)
RR
West Virginia(2/19/2018)
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.
