LD
Laurie Dowd Gowdy
THRIVENT INVESTMENT MANAGEMENT
Marshalltown, IA 50158
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CRD#: 6660917
LD
Professional summary
Laurie Dowd Gowdy, who also goes by Laurie Lynn Dowd, Laurie Dowd Gowdy, is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Marshalltown, Iowa.
Laurie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Laurie has worked at 1 firm and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Laurie Lynn Dowd | Laurie Dowd Gowdy
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.
P.E.O. (CHAPTER CF) POSITION: Corresponding Secretary NATURE: This is a womens' community group that works to promote educational opportunities for women. INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 06/20/2000 ADDRESS: 2325 Jessup Ave, State Center IA 50247, United States DESCRIPTION: I am the corresponding secretary which means that during meetings I read updates and information from the national office to the members. I also keep track of reporting new members to the national office and/or removing members who drop out or are deceased. DIXON-DOWD LLC POSITION: member NATURE: When our mother passed away, my two sisters and I inherited some land in Winfield,Missouri. Last year we decided to establish a LLC for ease of management. We are all partners in the LLC. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 06/30/2016 ADDRESS: 1948-310th, Melbourne IA 50162, United States DESCRIPTION: I pay the property taxes and the insurance out of the LLC account. We took the land out of CRP, so my sisters and I no longer take any income from the LLC. FAMILY FARM POSITION: co-owner NATURE: Cropland rental and the raising/selling of Christmas trees. INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2020 ADDRESS: 1948 310th Street, Melbourne IA 50162, United States DESCRIPTION: This is my husband's family farm and is approximately 80 acres. The farm generates rental income. We began selling Christmas trees November, 2020. My husband does all the management. HOPE UNITED METHODIST CHURCH POSITION: member, finance committee NATURE: This committee's main duty is to approve the budget and monitor church spending. INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2024 ADDRESS: 2203 S 3rd Ave, Marshalltown IA 50158, United States DESCRIPTION: Attending monthly leadership team meetings.Approving the budget and working with the finance team and church treasurer to make sure all financial obligations (bills, donations, etc) are being met.
CRS (Client Relationship Summary) - RIA
Click below to view Laurie Dowd Gowdy's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Laurie Dowd Gowdy'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
November 29, 2016 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 127 East Main St Ste 5, Marshalltown, IA 50158Office #3: 5404 Nw 88th Street, Johnston, IA 50131-1721RIA
BD
CRD#: 18387
Marshalltown, IA
Current
November 28, 2016 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 127 East Main St Ste 5, Marshalltown, IA 50158Office #2: 5404 Nw 88th Street, Johnston, IA 50131-1721RIA
BD
CRD#: 18387
Marshalltown, IA
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
Indiana(4/21/2017)
RR
Iowa(11/29/2016)
IAR
Iowa(11/29/2016)
RR
Kansas(12/7/2021)
RR
Minnesota(9/17/2021)
RR
Nebraska(7/24/2023)
RR
New Hampshire(6/26/2017)
RR
South Dakota(10/25/2022)
RR
Texas(7/24/2023)
IAR
Texas(7/24/2023)
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.
