Casey M. Mitchell

THRIVENT ASSET MANAGEMENT

Minneapolis, MN 55402-3265

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CRD#: 6809114

Professional summary

Casey M Mitchell, who also goes by Casey Mitchell, Casey M Mitchell, is a registered financial advisor currently at THRIVENT ASSET MANAGEMENT, LLC located in Minneapolis, Minnesota and THRIVENT DISTRIBUTORS, LLC located in Minneapolis, Minnesota.

Casey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Casey has worked at 5 firms and has passed the Series 65, Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Casey Mitchell | Casey M Mitchell

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Casey M Mitchell'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®

None

Experience

Current

March 17, 2025 - Present

THRIVENT ASSET MANAGEMENT, LLC

Office #1: 901 Marquette Avenue Suite 2500, Minneapolis, MN 55402-3265

RIA

CRD#: 137751

Minneapolis, MN

Current

December 13, 2024 - Present

THRIVENT DISTRIBUTORS, LLC

Office #1: 901 Marquette Avenue Suite 2500, Minneapolis, MN 55402-3265

CRD#: 179512

Minneapolis, MN

Past

June 26, 2020 - November 21, 2024

FRED ALGER & COMPANY, LLC

CRD#: 5300

NEW YORK, NY

Past

October 7, 2019 - June 19, 2020

OPPENHEIMER & CO. INC.

RIA

CRD#: 249

NEW YORK, NY

Past

October 4, 2019 - June 19, 2020

OPPENHEIMER & CO. INC.

CRD#: 249

NEW YORK, NY

Past

September 21, 2017 - September 19, 2019

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

WEEHAWKEN, NJ

Past

August 8, 2017 - September 19, 2019

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

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".

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.

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

Alabama
(2/11/2025)

Alaska
(2/11/2025)

Arizona
(2/11/2025)

Arkansas
(2/11/2025)

California
(2/11/2025)

Colorado
(2/11/2025)

Connecticut
(2/11/2025)

Delaware
(2/11/2025)

District of Columbia
(2/11/2025)

Florida
(2/11/2025)

Georgia
(2/11/2025)

Hawaii
(2/11/2025)

Idaho
(2/11/2025)

Illinois
(2/11/2025)

Indiana
(2/11/2025)

Iowa
(2/11/2025)

Kansas
(2/11/2025)

Kentucky
(2/11/2025)

Louisiana
(2/11/2025)

Maine
(2/11/2025)

Maryland
(2/11/2025)

Massachusetts
(2/11/2025)

Michigan
(2/11/2025)

Minnesota
(2/11/2025)

IAR

Minnesota
(3/17/2025)

Mississippi
(2/11/2025)

Missouri
(2/11/2025)

Montana
(2/11/2025)

Nebraska
(2/11/2025)

Nevada
(2/11/2025)

New Hampshire
(2/11/2025)

New Jersey
(12/13/2024)

New Mexico
(2/11/2025)

New York
(2/11/2025)

North Carolina
(2/11/2025)

North Dakota
(2/11/2025)

Ohio
(2/12/2025)

Oklahoma
(2/11/2025)

Oregon
(2/11/2025)

Pennsylvania
(2/11/2025)

Puerto Rico
(2/11/2025)

Rhode Island
(2/11/2025)

South Carolina
(2/11/2025)

South Dakota
(2/11/2025)

Texas
(2/11/2025)

Utah
(2/11/2025)

Vermont
(2/11/2025)

Virginia
(2/11/2025)

Washington
(2/11/2025)

West Virginia
(2/11/2025)

Wisconsin
(2/11/2025)

Wyoming
(2/11/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/14/2025

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 9/15/2017

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/8/2017

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

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)

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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

Latest Form ADV

Part 2 Brochures

THRIVENT ASSET MANAGEMENT LLC BROCHURE 03/31/2025 (3/31/2025)

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.

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Advisor Monitoring

Firm Stability Insights

Casey M. Mitchell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Casey M Mitchell's CRS (Customer Relationship Summary).

Certified licenses

Experience

THRIVENT DISTRIBUTORS, LLC

FRED ALGER & COMPANY, LLC

OPPENHEIMER & CO. INC.

OPPENHEIMER & CO. INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

THRIVENT ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/14/2025

Series 66

Date: 9/15/2017

SIE

Date: 10/1/2018

Series 7

Date: 8/8/2017

FINRA

Current Firm

THRIVENT ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

THRIVENT ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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