MH
Monty L. Harmon
THRIVENT INVESTMENT MANAGEMENT
Olympia, WA
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CRD#: 6829499
MH
Professional summary
Monty Lloyd Harmon is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Olympia, Washington.
Monty is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Monty has worked at 1 firm and has passed the Series 66, Series 63, 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.
HARMON CONSULTING INC POSITION: President NATURE: Regulatory consulting in licensing and regulatory compliance for Gambling and Liquor Licensees. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 08/01/2003 ADDRESS: 3316 46th ave NE, Olympia WA 98506, United States DESCRIPTION: Regulatory consulting (on call basis, none expected and none in past 3 months) EVANGELICAL COVENANT CHURCH BOARD OF PENSIONS AND BENEFITS POSITION: Director on Board NATURE: I am serving on the Board to represent the Pacific Northwest region. I vote on Board decisions put forward from the President regarding investments where funds are invested. INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 2 START DATE: 06/01/2016 ADDRESS: 8303 W Higgins Rd, Chicago IL 60630, United States DESCRIPTION: I am a member of the Evangelical Covenant church in Olympia and was voted at the national annual meeting to be the representative appointed to fill a five-year term in 2016 which was extended 2021 with annual renewals. I will remain on the board and be able to vote, but will abstain on any specific investment decision, and I do not provide specific investment advice. I will not be voting on any investment decisions. GRACE COVENANT COMMUNITY CHURCH POSITION: Director of Men's ministry NATURE: As the lead person/contact for Men's Ministries, I facilitate events for men as the lead person/contact for Men's Ministries. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 09/05/2006 ADDRESS: 5501 Wiggins rd SE, Olympia WA 98040, United States DESCRIPTION: This is a volunteer position that works with a group of men to run and facilitate activities for men and their families in the community. Breakfasts, Bible Studies and evening game nights, rafting trips, Golf tournaments, bike rides and BBQs. About 100 men participate in some events.
CRS (Client Relationship Summary) - RIA
Click below to view Monty Lloyd Harmon's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Monty Lloyd Harmon'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
December 8, 2017 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
BD
CRD#: 18387
Olympia, WA
Current
October 5, 2017 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
BD
CRD#: 18387
Olympia, WA
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(10/30/2017)
RR
Florida(3/15/2023)
RR
Oregon(10/23/2025)
RR
Washington(10/13/2017)
IAR
Washington(12/8/2017)
Exams
State Security Law Exam
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.
