DH
Doug V. Horne
THRIVENT INVESTMENT MANAGEMENT
Monee, IL
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CRD#: 6544950
DH
Professional summary
Doug V Horne, who also goes by Doug Horne, is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Monee, Illinois.
Doug is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Doug has worked at 1 firm and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Doug Horne
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.
FAMILY OF FAITH CHURCH POSITION: Director of Music NATURE: This is a church. INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2005 ADDRESS: 6645 W. Steger Rd., Monee IL 60449 DESCRIPTION: Lead and plan music for worship service. VILLAGE OF MONEE POSITION: Trustee NATURE: Government of the Village of Monee INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 0 START DATE: 05/04/2011 ADDRESS: 5130 W. Court St., Monee IL 60449, United States DESCRIPTION: I am a trustee forthe village, which means I am involved in crafting and enacting ordinances. PROVISION THEATRE POSITION: Member, Board of Directors NATURE: Professional theatre company, specializing in faith based productions INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 12/01/2022 ADDRESS: 9421 Beall St, Dyer IN 46311, United States DESCRIPTION: Attend board meetings, provide business guidance, provide assistance where needed and requested. MUSICIAN/BANDLEADER POSITION: Bandleader NATURE: Musician and Bandleader of the Rhythm Makers Orchestra. Playing for concerts and dances INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 05/09/2021 ADDRESS: 5326 W. Court St, Monee IL 60449, United States DESCRIPTION: Book concerts and dances for the band RENTAL PROPERTY POSITION: Owner NATURE: Owner of one rental house. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 03/01/2008 ADDRESS: 5326 W. Court St., Box 133, Monee IL 60449, United States DESCRIPTION: Cut grass, clean gutters, contract for routine maintenance, collect rent. LANSING AREA CHAMBER OF COMMERCE POSITION: Director NATURE: Supporting the growth and prosperity of businesses in the greater Lansing, IL area. Championing innovation, fostering strategic connections, and promoting economic and community development INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2025 ADDRESS: 17751 Chicago Ave., Ste. 1, Lansing IL 60438, United States DESCRIPTION: Attend board meeting, direct policy, assist and networking/fundraiser events
CRS (Client Relationship Summary) - RIA
Click below to view Doug V Horne's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Doug V Horne'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
March 25, 2020 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #2: 3546 Ridge Rd, Lansing, IL 60438RIA
BD
CRD#: 18387
Monee, IL
Current
July 7, 2016 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 3546 Ridge Rd, Lansing, IL 60438RIA
BD
CRD#: 18387
Lansing, IL
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(11/26/2024)
RR
Florida(8/26/2024)
RR
Georgia(7/31/2025)
RR
Illinois(8/15/2016)
IAR
Illinois(3/25/2020)
RR
Indiana(8/29/2016)
RR
Michigan(4/13/2020)
RR
Nebraska(5/16/2023)
RR
Wisconsin(8/29/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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.
