MR
Michael J. Raymond
THRIVENT INVESTMENT MANAGEMENT
Fletcher, NC
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CRD#: 6927636
MR
Professional summary
Michael Jay Raymond is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Fletcher, North Carolina.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Michael 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.
UNC ASHEVILLE ALUMNI ASSOCIATION POSITION: Board Member NATURE: The UNC Asheville Alumni Association works with more than 19,000 graduates across the country and the world, helping them stay connected to their Alma Mater, classmates and mentors. Through its programs, the Association fosters a lifelong connection between the university and its alumni. Additionally, the Alumni Association seeks, through campus partnerships, to provide alumni lifelong learning services that are unique to and that enhance the UNC Asheville alumni experience. INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 2 START DATE: 05/08/2020 ADDRESS: 118 W.T. Weaver Blvd, 2nd Floor, Asheville NC 28804, United States DESCRIPTION: Attend Board Meetings, provide insight into campaigns and efforts, and engage with students and alumni. UNC ASHEVILLE FOUNDATION BOARD POSITION: Appointed Director NATURE: The mission of the Foundation is to advocate for and oversee gifts for the benefit of the University of North Carolina at Asheville ("University") community. INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 07/01/2023 ADDRESS: One University Heights, Asheville NC 28804, United States DESCRIPTION: Appointed Directors - Directors may be appointed from various boards,councils or entities connected to University and/or from variouscommunity organizations ("Appointed Directors").1.Volunteer Organizations/ Affiliated Entities. Not more than three(3)persons duly appointed by the Nominating Committee fromthe following list of organizations/entities, each for two (2) yearterms, which may be renewed for one (1) additional year. Suchlist may be amended or modified from time to time by a motionfrom the Executive Committee and ratified by Board vote.List of Organizations/Entities may include, but are not limitedto, the following:i.UNC Asheville Student Government Association.ii.UNC Asheville Alumni Association.iii.Osher Lifelong Learning Institute ("OLLI").iv.Family Business Forum ("FBF").? HOUSE BEAUTIFUL RETREATS POSITION: Board of Directors NATURE: The corporation is organized and operated exclusively for religious, charitable, educational, and literary purposes within the meaning of Section 501(c)(3) of the Internal Revenue Code of 1986, as amended. More particularly, but without limitation, the purpose(s) of the corporation is to serve as a Christian retreat and study center for Christian leaders and their families, with an emphasis on vocational ministries, missionary families, and young adults. The corporation seeks to serve, encourage, equip, and inspire current and rising Christian leaders, their families, and their peers for the good of the Church and to the glory of God. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 02/29/2024 ADDRESS: W12073 Anlwa Road, Plainfield WI 54966, United States DESCRIPTION: Attend board meetings, providing oversight to the organization, its President and other officers.
CRS (Client Relationship Summary) - RIA
Click below to view Michael Jay Raymond's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael Jay Raymond'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 5, 2018 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #2: 14 Towne Place Drive, Hendersonville, NC 28792Office #3: 1316 Patton Avenue, Asheville, NC 28806Office #4: 726 West C Street, Newton, NC 28658RIA
BD
CRD#: 18387
Fletcher, NC
Current
June 11, 2018 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 14 Towne Place Drive, Hendersonville, NC 28792Office #2: 1316 Patton Avenue, Asheville, NC 28806Office #3: 726 West C Street, Newton, NC 28658RIA
BD
CRD#: 18387
Hendersonville, NC
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(11/19/2018)
RR
Arizona(1/21/2022)
RR
California(12/17/2021)
RR
District of Columbia(4/30/2025)
IAR
District of Columbia(5/9/2025)
RR
Florida(8/15/2018)
RR
Georgia(8/19/2020)
RR
Hawaii(1/21/2022)
RR
Illinois(2/8/2021)
RR
Indiana(1/21/2022)
RR
Iowa(8/5/2024)
RR
Louisiana(4/10/2024)
RR
Michigan(1/6/2021)
RR
Mississippi(6/15/2022)
RR
New York(1/21/2022)
IAR
North Carolina(7/5/2018)
RR
North Carolina(7/8/2018)
RR
Oklahoma(8/19/2020)
IAR
Oklahoma(8/21/2020)
RR
Pennsylvania(1/21/2022)
RR
South Carolina(7/27/2018)
RR
Tennessee(3/23/2021)
RR
Texas(8/19/2020)
IAR
Texas(8/19/2020)
RR
Virginia(4/14/2021)
RR
Washington(8/6/2019)
RR
Wisconsin(8/19/2020)
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.
