AK
Aaron E. Klawuhn
THRIVENT INVESTMENT MANAGEMENT
LANSING, MI 48911
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CRD#: 6867535
AK
Professional summary
Aaron Edward Klawuhn is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Lansing, Michigan.
Aaron is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Aaron 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.
CUB SCOUT PACK 240 POSITION: Assistant Cubmaster - Committee Member NATURE: I have been selected to serve as Assistant Cubmaster to Cub Scout Pack 240 in Owosso, MI and also to serve on the committee. INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 08/23/2019 ADDRESS: no actual address, Owosso MI 48867, United States DESCRIPTION: As a member of Committee, I will be responsible for approving the budget, organizing and planning activities and the cost associated with those activities. I will also be responsible for setting up fund raisers and directing the program for the 2019-2020 year. As Assistant Cubmaster, I will be responsible for assisting in the overall leadership of the Pack, directing in its operations and planning and leading of the youth in their programs, achievements and recognition. GRACE ORTHODOX PRESBYTERIAN CHURCH POSITION: Ruling Elder NATURE: I am one of 3 ruling elders of Grace OPC in Lansing MI, along with the pastor, (referred to as the session). INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 11/01/2012 ADDRESS: 1301 W. Wieland Rd, Lansing MI 48906, United States DESCRIPTION: I am on the session for Grace OPC in Lansing MI. My duties are overseeing the governance of the church with other members of session, directing and allocating resources for the continuance and betterment of the church including budgets and planning. I am involved in directing and maintaining resources for the maintenance of the church facility with other members of session. I will also be asked to assist in matters of worship occasionally, along with the pastor and other members of session.
CRS (Client Relationship Summary) - RIA
Click below to view Aaron Edward Klawuhn's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Aaron Edward Klawuhn'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
February 2, 2018 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 3410 Belle Chase Way, Lansing, MI 48911RIA
BD
CRD#: 18387
LANSING, MI
Current
December 20, 2017 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 3410 Belle Chase Way, Lansing, MI 48911RIA
BD
CRD#: 18387
LANSING, MI
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
Michigan(2/2/2018)
IAR
Michigan(2/2/2018)
RR
Ohio(2/28/2023)
RR
Tennessee(8/30/2023)
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.
