AF
Aaron P. Fopma
THRIVENT INVESTMENT MANAGEMENT
Iowa Falls, IA 50126
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CRD#: 6927167
AF
Professional summary
Aaron Paul Fopma is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Iowa Falls, Iowa.
Aaron is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. 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.
SCENIC CITY CIVIC FOUNDATION-CHRISTIAN CONCERT POSITION: Board Member NATURE: Non profit group that organizes a Christian concert in the park each fall in Iowa Falls. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2019 ADDRESS: 520 Rocksylvania Ave, Iowa Falls IA 50126, United States DESCRIPTION: Attend meetings to plan the concert. Work during the day of the concert to help set up for it. OVERFLOW THRIFT STORE POSITION: Board member NATURE: Operate a not for profit thrift store that uses the profits to support local and over sea ministries. INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 2 START DATE: 07/01/2023 ADDRESS: 202 S Duff Ave, Ames IA 50010, United States DESCRIPTION: Monthly board meetings to provide oversight to the operation. OMEGA LIFE CHRISTIAN MINISTRIES POSITION: Board Member NATURE: Teaching and training events to help facilitate restoration, healing and learning in the kingdom of God. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 06/19/2023 ADDRESS: 324 E Chestnut St PO Box 38, Hubbard IA 50122, United States DESCRIPTION: Oversight in board meetings. IOWA FARM BUREAU POSITION: Board Member NATURE: Farm Bureau INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 12/01/2005 ADDRESS: 1200 Seneca St, Webster City IA 50595, United States DESCRIPTION: Attend board meetings.
CRS (Client Relationship Summary) - RIA
Click below to view Aaron Paul Fopma's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Aaron Paul Fopma'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
July 30, 2018 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 703 S Oak St, Iowa Falls, IA 50126Office #2: 619 Elm Ave, Story City, IA 50248RIA
BD
CRD#: 18387
Iowa Falls, IA
Current
June 30, 2018 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 703 S Oak St, Iowa Falls, IA 50126Office #2: 619 Elm Ave, Story City, IA 50248RIA
BD
CRD#: 18387
Iowa Falls, IA
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
Arkansas(1/15/2019)
RR
Iowa(7/30/2018)
IAR
Iowa(7/30/2018)
RR
Michigan(8/9/2018)
RR
Minnesota(8/9/2018)
RR
Missouri(9/18/2023)
RR
Nebraska(8/9/2018)
RR
North Dakota(11/29/2024)
RR
South Carolina(5/2/2025)
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
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Company Information
THRIVENT INVESTMENT MANAGEMENT INC.
CRD#: 18387Iowa Falls, IA 50126TRUST BUT VERIFY
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