DH
Douglas A. Hess
THRIVENT INVESTMENT MANAGEMENT
Chambersburg, PA
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CRD#: 6929911
DH
Professional summary
Douglas Andrew Hess, who also goes by Doug Andrew Hess, is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Chambersburg, Pennsylvania.
Douglas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Douglas has worked at 1 firm and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Doug Andrew Hess
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.
SCOTT'S MOUNTAIN CAMP POSITION: Board Member / Treasurer NATURE: The "organization" is a privately owned un-incorporated vacation property with shareholders/members each holding an equally valued "share" of ownership. The purpose of the property is recreational with members primarily using the property for hunting, fishing and vacationing. There is no "business" purpose and the members annually assess ourselves for shortfall in our financial obligations. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2019 ADDRESS: 67 Hardinger Drive, Sinnamahoning PA 15861, United States DESCRIPTION: Paying utility & tax bills, participating in member decisions about maintenance and other property related obligations. HABITAT FOR HUMANITY OF FRANKLIN COUNTY POSITION: Board Member NATURE: Local chapter of Habitat for Humanity, serving local community through non-profit housing program. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 01/17/2019 ADDRESS: 1502 Lincoln Way East, Chambersburg PA 17202, United States DESCRIPTION: Board of Directors member giving oversight to the executive director. Committee participation and voting on initiatives related to home site suitability, family compatibility, marketing to local church partners and community awareness. AWAKEN US MINISTRIES POSITION: Board Member NATURE: Awaken Us Ministries is currently in the fledgling stages of organizing as a non-profit. The founder's goal isto spread the gospel message of Jesus Christ throughout the earth and to make disciples by all availablemeans including live events, media, and revival gatherings. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2021 ADDRESS: 8764 Possum Hollow Road,, Shippensburg PA 17257, United States DESCRIPTION: I will be participating in the board oversight of the non-profit ministry and meeting 3x a year to review the goals of the organization.
CRS (Client Relationship Summary) - RIA
Click below to view Douglas Andrew Hess's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Douglas Andrew Hess'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 #2: 550 Cleveland Ave, Chambersburg, PA 17201RIA
BD
CRD#: 18387
Chambersburg, PA
Current
July 9, 2018 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 550 Cleveland Ave, Chambersburg, PA 17201RIA
BD
CRD#: 18387
Chambersburg, PA
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
Florida(1/13/2023)
RR
Maryland(8/23/2018)
RR
North Carolina(11/15/2021)
RR
Pennsylvania(7/30/2018)
IAR
Pennsylvania(7/30/2018)
RR
South Carolina(2/7/2022)
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.
