SS
Shawn S. Sharafkah
THRIVENT INVESTMENT MANAGEMENT
Marina, CA
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CRD#: 6816100
SS
Professional summary
Shawn Sharyar Sharafkah, who also goes by Shawn Sharafkah, Shahryar Sharafkah, Shawn Sharyar Sharafkah, Shahyar Shawn Sharafkhah, is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Marina, California.
Shawn is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Shawn has worked at 6 firms and has passed the Series 66, Series 63, Series 6TO, Series 7TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Shawn Sharafkah | Shahryar Sharafkah | Shawn Sharyar Sharafkah | Shahyar Shawn Sharafkhah
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.
CRS (Client Relationship Summary) - RIA
Click below to view Shawn Sharyar Sharafkah's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Shawn Sharyar Sharafkah'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
May 23, 2024 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
BD
CRD#: 18387
Marina, CA
Current
May 23, 2024 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 600 Portland Ave S Msc 7100, Minneapolis, MN 55415RIA
BD
CRD#: 18387
Minneapolis, MN
Past
June 29, 2023 - May 16, 2024
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
San Jose, CA
Past
June 28, 2023 - May 16, 2024
ALLSTATE FINANCIAL ADVISORS, LLC
RIA
CRD#: 109524
San Jose, CA
Past
July 12, 2021 - August 25, 2021
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
SAN JOSE, CA
Past
February 19, 2021 - August 25, 2021
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
SAN JOSE, CA
Past
October 29, 2018 - April 22, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
PALO ALTO, CA
Past
August 8, 2018 - April 22, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
PALO ALTO, CA
Past
July 26, 2017 - April 5, 2018
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
SAN JOSE, CA
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
Alabama(5/31/2024)
RR
Alaska(5/31/2024)
RR
Arizona(5/31/2024)
RR
Arkansas(5/31/2024)
RR
California(5/23/2024)
IAR
California(5/23/2024)
RR
Colorado(5/31/2024)
RR
Connecticut(5/31/2024)
RR
Delaware(5/31/2024)
RR
District of Columbia(5/31/2024)
IAR
District of Columbia(6/6/2024)
RR
Florida(5/31/2024)
RR
Georgia(5/31/2024)
RR
Hawaii(5/31/2024)
RR
Idaho(5/31/2024)
RR
Illinois(5/31/2024)
RR
Indiana(5/31/2024)
RR
Iowa(5/31/2024)
RR
Kansas(5/31/2024)
RR
Kentucky(5/31/2024)
RR
Louisiana(5/31/2024)
RR
Maine(5/31/2024)
RR
Maryland(5/31/2024)
RR
Massachusetts(5/31/2024)
RR
Michigan(5/31/2024)
RR
Minnesota(5/31/2024)
RR
Mississippi(5/31/2024)
RR
Missouri(5/31/2024)
RR
Montana(5/31/2024)
RR
Nebraska(5/31/2024)
RR
Nevada(5/31/2024)
RR
New Hampshire(5/31/2024)
RR
New Jersey(5/31/2024)
RR
New Mexico(5/31/2024)
RR
New York(5/31/2024)
RR
North Carolina(5/31/2024)
RR
North Dakota(5/31/2024)
RR
Ohio(6/1/2024)
RR
Oklahoma(5/31/2024)
IAR
Oklahoma(6/3/2024)
RR
Oregon(5/31/2024)
RR
Pennsylvania(5/31/2024)
RR
Rhode Island(5/31/2024)
RR
South Carolina(5/31/2024)
RR
South Dakota(5/31/2024)
RR
Tennessee(5/31/2024)
RR
Texas(5/31/2024)
IAR
Texas(5/31/2024)
RR
Utah(5/31/2024)
RR
Vermont(5/31/2024)
RR
Virginia(5/31/2024)
RR
Washington(5/31/2024)
RR
West Virginia(5/31/2024)
RR
Wisconsin(5/31/2024)
RR
Wyoming(5/31/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product 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.
