JS
John Sutton
THRIVENT INVESTMENT MANAGEMENT
Cincinnati, OH 45209
Some features on this profile are disabled
CRD#: 6860035
JS
John SuttonTHRIVENT INVESTMENT MANAGEMENT
Professional summary
John Sutton, who also goes by John C Sutton, is a registered financial professional currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Cincinnati, Ohio.
John is registered as a RR (Registered Representative) and started their career in finance in 2017. John has worked at 2 firms and has passed the Series 65, Series 63, Series 99TO, SIE and Series 6 exams.
Aliases
John C Sutton
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.
Linwood Baptist Church - 4808 Eastern Ave, Cincinnati, OH - Pastor - 40+ hrs/mo (0 during mkt hrs) - not securities related - will not interfere with duties at firm ------------------------------------------------------------------------------ Columbia Baptist Church - 3718 Eastern Ave, Cincinnati, OH - Pastor - 20 hrs/mo (0 during mkt hrs) - not securities related - will not interfere with duties at firm ------------------------------------------------------------------------------ Integrative Counseling Solutions - 431 OHIO PIKE SUITE 312, CINCINNATI, OHIO 45255 - family mental health counseling - Professional Counselor - 20 hrs/mo (2 mkt hrs) - not securities related - will not interfere with duties at firm ------------------------------------------------------------------------------- New Creation Counseling LLC - 431 OHIO PIKE SUITE 312, CINCINNATI, OHIO 45255 - family mental health counseling - Professional Counselor - 20 hrs/mo (2 mkt hrs) - not securities related - will not interfere with duties at firm
CRS (Client Relationship Summary) - BD
Click below to view John Sutton'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
August 7, 2026 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 3825 Edwards Road, Cincinnati, OH 45209RIA
BD
CRD#: 18387
Cincinnati, OH
Past
May 21, 2020 - March 12, 2024
FIFTH THIRD SECURITIES, INC.
BD
CRD#: 628
CINCINNATI, OH
Past
May 20, 2020 - March 12, 2024
FIFTH THIRD SECURITIES, INC.
RIA
CRD#: 628
CINCINNATI, OH
Past
August 28, 2018 - February 28, 2019
FIFTH THIRD SECURITIES, INC.
RIA
CRD#: 628
CINCINNATI, OH
Past
September 28, 2017 - February 28, 2019
FIFTH THIRD SECURITIES, INC.
BD
CRD#: 628
CINCINNATI, OH
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.
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
Indiana(8/18/2026)
RR
Kentucky(8/18/2026)
RR
Ohio(8/7/2026)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 3/7/2023
Operations Professional ExaminationGeneral 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)
Loading...
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 |
|---|---|---|
| 01/22/2026 | ||
| 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.
Company Information
THRIVENT INVESTMENT MANAGEMENT INC.
CRD#: 18387Cincinnati, OH 45209TRUST BUT VERIFY
Monitor John Sutton
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
