PP
Patti K. Powell
THRIVENT INVESTMENT MANAGEMENT
New Hope, MN 55428
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CRD#: 6633124
PP
Professional summary
Patti Kaye Powell, who also goes by Patti Kaye Czech, Bushman Kaye Patti, is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in New Hope, Minnesota.
Patti is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Patti has worked at 1 firm and has passed the Series 66, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Patti Kaye Czech | Bushman Kaye Patti
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.
QUORUM: THE TWIN CITIES LGBTQ+ AND ALLIED CHAMBER OF COMMERCE POSITION: Board Member NATURE: The general purpose of this corporation shall be to foster leadership for economic activity and develop a positive environment for gay, lesbian, bisexual, transgender and allied businesses, organizations, individuals, and consumers. This corporation is not formed for pecuniary gain to its investors, will pay no financial dividends, nor will it provide other remuneration, directly or indirectly, to its member investors. This corporation shall be nonpartisan and nonsectarian, and shall observe all local, state, and federal laws which apply to nonprofit organizations as defined in article 501(c)6 of internal Revenue code. INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2021 ADDRESS: 310 East 38th Street Suite 209, Minneapolis MN 55409, United States DESCRIPTION: 1) Deterring the financial requirements of the Chamber and for establishing the dues schedule needed to meet the Chamber's financial requirements2) Vote, declare vacant the seat of ay Director who has been absent from 3 consecutive or 50% of regularly scheduled board meeting in a 6-month period3) Serve on standing committees, or other ad hoc committees, and shall function as a liaison between the board of directors and such committees4) All decisions requiring Board approval in between official board meetings will be submitted by the President through email to board members. Board members will have 48 hours to respond to the decision. IF no response is received, the board members vote will be counted as an abstention5) An member of the board of directors may be removed with or without cause, at any time, by 2/3rds vote. RENTAL PROPERTY POSITION: Co owner NATURE: Purchase rental property: 1806 Palm Crest Way The Villages FLClose June 10th 2021Using The Villages Property management company to rent property INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 06/10/2021 ADDRESS: 10466 Yorktown Lane North, Maple Grove MN 55369, United States DESCRIPTION: With my Husband Richard Powell invest in the purchase of property for the intent of renting long term. Will be adding a mortgage on the property that we will be responsible to pay
CRS (Client Relationship Summary) - RIA
Click below to view Patti Kaye Powell's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Patti Kaye Powell'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
February 1, 2021 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 9220 Bass Lake Rd, New Hope, MN 55428RIA
BD
CRD#: 18387
New Hope, MN
Current
September 7, 2016 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 9220 Bass Lake Rd, New Hope, MN 55428RIA
BD
CRD#: 18387
New Hope, 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(9/21/2023)
RR
Florida(8/5/2020)
RR
Iowa(11/1/2021)
RR
Michigan(10/17/2024)
RR
Minnesota(10/27/2016)
IAR
Minnesota(2/1/2021)
RR
North Dakota(11/1/2021)
RR
Wisconsin(7/11/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 5/9/2019
General Securities Representative ExaminationGeneral 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.
