JH
James P. Hoke
THRIVENT INVESTMENT MANAGEMENT
Kenly, NC 27542
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CRD#: 6547506
JH
Professional summary
James Patrick Hoke is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Kenly, North Carolina.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. James 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.
KENLY AREA CHAMBER OF COMMERCE POSITION: Board Member NATURE: Promote local community and business activities. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 2 START DATE: 04/01/2021 ADDRESS: 206 W. Second Street, Kenly NC 27542, United States DESCRIPTION: Promote local community and business activities. TOBACCO FARM LIFE MUSEUM POSITION: Board Member NATURE: Promote and preserve agricultural activities in the local area. Provide agricultural educational opportunities for local residents and visitors. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 04/01/2021 ADDRESS: 709 N. Church Street, Kenly NC 27542, United States DESCRIPTION: Help promote general awareness of seasonal events scheduled at the museum. Help and support events and programs associated with the museum. JOHNSTON COUNTY TOURISM AUTHORITY POSITION: Board Member NATURE: The mission of the Johnston County Visitors Bureau is the marketing and developing of the destination's brand experiences to targeted visitor markets for economic growth and quality of place. INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 1 START DATE: 04/05/2023 ADDRESS: 234 Venture Drive, Smithfield NC 27577, United States DESCRIPTION: Marketing our destinations to visitors, thereby encouraging utilization of accommodations, retail outlets, restaurants, heritage sites, museums, entertainment and recreation venues for the community's economic benefit.
CRS (Client Relationship Summary) - RIA
Click below to view James Patrick Hoke's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Patrick Hoke'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
April 29, 2016 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 107 S Gardner Ave, Kenly, NC 27542Office #2: 614 East Market Street, Smithfield, NC 27577Office #3: 3401 Wendell Boulevard, Wendell, NC 27591Office #4: 2500 Nash St, Wilson, NC 27893Office #5: 3120 Highwoods Boulevard, Raleigh, NC 27604Office #6: 3400 Walsh Parkway, Fayetteville, NC 28311RIA
BD
CRD#: 18387
Kenly, NC
Current
March 31, 2016 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 107 S Gardner Ave, Kenly, NC 27542Office #2: 614 East Market Street, Smithfield, NC 27577Office #3: 3401 Wendell Boulevard, Wendell, NC 27591Office #4: 2500 Nash St, Wilson, NC 27893Office #5: 3120 Highwoods Boulevard, Raleigh, NC 27604Office #6: 3400 Walsh Parkway, Fayetteville, NC 28311RIA
BD
CRD#: 18387
Kenly, NC
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
Kentucky(9/26/2024)
RR
Michigan(8/2/2023)
RR
North Carolina(4/29/2016)
IAR
North Carolina(4/29/2016)
RR
Virginia(1/29/2025)
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
