AP
Amy J. Pearson
THRIVENT INVESTMENT MANAGEMENT
New Ulm, MN 56073
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CRD#: 6609329
AP
Professional summary
Amy Joy Pearson, who also goes by Bauer Joy Amy, is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in New Ulm, Minnesota.
Amy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Amy has worked at 1 firm and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bauer Joy Amy
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.
MARY KAY POSITION: consultant NATURE: I am a Mary Kay consultant in name only. I use that status to purchase the products at half price for mine and my daughter's personal use. I do not sell it for a profit nor participate in parties, calling, soliciting clients in any form. I put in an order twice a year. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 11/01/2016 ADDRESS: 26 S. Highland, New Ulm MN 56073 DESCRIPTION: Put in an order online twice a year. BRONZ'D LLC POSITION: staff member/budget/record keeper NATURE: Local tanning salon providing both UV and sunless tanning options. INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 10 START DATE: 07/21/2025 ADDRESS: 700 N. Minnesota St., New Ulm MN 56073, United States DESCRIPTION: My husband and his sister own this business. I will assist at the front desk occasionally. I also assist my husband with his role of maintaining the facility, record keeping, budgeting for the business, payroll and preparing for their tax appointment.
CRS (Client Relationship Summary) - RIA
Click below to view Amy Joy Pearson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Amy Joy Pearson'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
June 2, 2016 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 108 S Minnesota St, New Ulm, MN 56073RIA
BD
CRD#: 18387
New Ulm, MN
Current
April 25, 2016 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 108 S Minnesota St, New Ulm, MN 56073RIA
BD
CRD#: 18387
New Ulm, MN
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(10/23/2025)
RR
Minnesota(6/2/2016)
IAR
Minnesota(6/2/2016)
RR
Texas(12/16/2022)
IAR
Texas(12/16/2022)
RR
Wisconsin(7/12/2016)
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.
