LB
Lucas C. Beatty
THRIVENT INVESTMENT MANAGEMENT
Lincolnton, NC
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CRD#: 6790925
LB
Professional summary
Lucas Charles Beatty is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Lincolnton, North Carolina.
Lucas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Lucas 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.
DALLAS, NC BOYS AND GIRLS CLUB BOARD MEMBER POSITION: Board Member NATURE: To embolden and empower the youth of the Dallas, NC area through education, engaging activities, and fitness. It is an after school and summer program that gives kids the opportunity to be in a healthy environment with other kids. They are able to learn and play together in a safe place with mentors that care about them. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2022 ADDRESS: 800 E. Main St., Dallas NC 28034, United States DESCRIPTION: Assisting in the fundraising efforts of the Club and helping with the structure of the annual golf tournament. VENTURE CHURCH BOARD MEMBER POSITION: Trustee NATURE: I will be a board member (trustee) for Venture Church. I will not have financial voting rights. I will not have control of checks or cash. I will not be able to give specific investment advice. I will not control any of the entity accounts. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 04/28/2024 ADDRESS: 800 E Main St, Dallas NC 28034, United States DESCRIPTION: Responsibilities include: sharing insights about job positions inside of the Church, checking the budget for accuracy to make sure there are no mistakes made, casting vision for the future. They do not need me to be on the board in a voting capacity. They have other trustees that have been around for a long time that will have the final say.
CRS (Client Relationship Summary) - RIA
Click below to view Lucas Charles Beatty's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Lucas Charles Beatty'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
October 16, 2017 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #2: 609 S New Hope Rd, Gastonia, NC 28054RIA
BD
CRD#: 18387
Lincolnton, NC
Current
September 27, 2017 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 609 S New Hope Rd, Gastonia, NC 28054RIA
BD
CRD#: 18387
Gastonia, 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
California(4/22/2019)
RR
Florida(5/30/2018)
RR
Georgia(2/13/2019)
RR
Kansas(10/20/2023)
RR
Kentucky(8/2/2022)
RR
Louisiana(12/6/2021)
RR
Maryland(9/23/2025)
RR
Massachusetts(8/4/2021)
RR
New York(4/28/2022)
RR
North Carolina(10/16/2017)
IAR
North Carolina(10/16/2017)
RR
Ohio(4/5/2022)
RR
South Carolina(5/8/2018)
RR
Tennessee(10/18/2019)
RR
Texas(3/18/2022)
IAR
Texas(3/21/2022)
RR
Virginia(12/11/2017)
RR
Washington(2/18/2025)
RR
West Virginia(12/1/2020)
RR
Wisconsin(10/23/2020)
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.
