CC
Cole H. Carter
THRIVENT ASSET MANAGEMENT
Minneapolis, MN 55402-3265
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CRD#: 6738829
CC
Professional summary
Cole Hendrickson Carter, who also goes by Cole Carter Hendrickson, is a registered financial advisor currently at THRIVENT ASSET MANAGEMENT, LLC located in Minneapolis, Minnesota and THRIVENT DISTRIBUTORS, LLC located in Minneapolis, Minnesota.
Cole is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Cole has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Cole Carter Hendrickson
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.
GOPHER STATE ROUNDUP POSITION: Board Member NATURE: Gopher State Roundup is an annual roundup and 501(3)c. The purpose of the roundup is promote recovery in MN. The event is currently held at the Hilton Hotel in Bloomington, MN. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 09/05/2018 ADDRESS: PO Box 390533, Minneapolis MN 55439-2026, United States DESCRIPTION: Help in planning and execution of the event. Review and oversee executive committee's responsibilities. Voting when decisions need to be made. N/A - PERSONAL RENTAL UNIT POSITION: N/A NATURE: My wife and I rent out a condo in St. Paul, MN. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2023 ADDRESS: 4646 Sunset Ridge, Golden Valley MN 55416, United States DESCRIPTION: We will be renting a condo to a tenant in St. Paul
CRS (Client Relationship Summary) - RIA
Click below to view Cole Hendrickson Carter'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 14, 2021 - Present
THRIVENT ASSET MANAGEMENT, LLC
Office #1: 901 Marquette Avenue Suite 2500, Minneapolis, MN 55402-3265RIA
CRD#: 137751
Minneapolis, MN
Current
January 12, 2021 - Present
THRIVENT DISTRIBUTORS, LLC
Office #1: 901 Marquette Avenue Suite 2500, Minneapolis, MN 55402-3265BD
CRD#: 179512
Minneapolis, 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".
TA
THRIVENT ASSET MANAGEMENT, LLC
THRIVENT ASSET MANAGEMENT LLC | THRIVENT ASSET MANAGEMENT, LLC
CRD#: 137751 / SEC#: 801-64988
RIA
Registered Investment Advisory firm - (12/15/2005 Approved)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(4/14/2021)
RR
Alaska(4/14/2021)
RR
Arizona(4/14/2021)
RR
Arkansas(4/14/2021)
RR
California(4/14/2021)
RR
Colorado(4/14/2021)
RR
Connecticut(4/14/2021)
RR
Delaware(4/14/2021)
RR
District of Columbia(4/14/2021)
RR
Florida(4/14/2021)
RR
Georgia(4/14/2021)
RR
Hawaii(4/14/2021)
RR
Idaho(4/14/2021)
RR
Illinois(4/14/2021)
RR
Indiana(4/14/2021)
RR
Iowa(4/14/2021)
RR
Kansas(4/14/2021)
RR
Kentucky(4/14/2021)
RR
Louisiana(4/14/2021)
RR
Maine(4/14/2021)
RR
Maryland(4/14/2021)
RR
Massachusetts(4/14/2021)
RR
Michigan(4/14/2021)
RR
Minnesota(3/23/2021)
IAR
Minnesota(4/14/2021)
RR
Mississippi(4/14/2021)
RR
Missouri(4/14/2021)
RR
Montana(4/14/2021)
RR
Nebraska(4/16/2021)
RR
Nevada(4/14/2021)
RR
New Hampshire(4/14/2021)
RR
New Jersey(4/14/2021)
RR
New Mexico(4/14/2021)
RR
New York(4/14/2021)
RR
North Carolina(4/14/2021)
RR
North Dakota(4/14/2021)
RR
Ohio(4/14/2021)
RR
Oklahoma(4/14/2021)
RR
Oregon(4/14/2021)
RR
Pennsylvania(4/14/2021)
RR
Rhode Island(4/14/2021)
RR
South Carolina(4/14/2021)
RR
South Dakota(4/14/2021)
RR
Texas(4/14/2021)
RR
Utah(4/14/2021)
RR
Vermont(4/14/2021)
RR
Virginia(4/14/2021)
RR
Washington(4/14/2021)
RR
West Virginia(4/14/2021)
RR
Wisconsin(4/14/2021)
RR
Wyoming(4/14/2021)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/11/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TA
THRIVENT ASSET MANAGEMENT, LLC
THRIVENT ASSET MANAGEMENT LLC | THRIVENT ASSET MANAGEMENT, LLC
CRD#: 137751 / SEC#: 801-64988
RIA
Registered Investment Advisory firm - (12/15/2005 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
901 Marquette Avenue Suite 2500, Minneapolis, MN 55402-3211
Mailing Address
Phone number
(800) 847-4836
Established
Firm type
Fiscal year end
# of Employees
450
SEC notice filing (2 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 31 |
| AUM (Assets Under Management) | $ 46,815,882,100 |
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.
