AG
Abraham I. Guzman
THRIVENT INVESTMENT MANAGEMENT
Minneapolis, MN 55415
Some features on this profile are disabled
CRD#: 6980002
AG
Professional summary
Abraham Isai Guzman, who also goes by Abraham Isai Guzman Angulo, Abraham Guzmanangulo, Abraham Isai Guzman, Abraham I Guzman Angulo, Abraham Isai Guzman Angulo, Abraham Guzman Angulo, is a registered financial professional currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Minneapolis, Minnesota.
Abraham is registered as a RR (Registered Representative) and started their career in finance in 2018. Abraham has worked at 3 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Abraham Isai Guzman Angulo | Abraham Guzmanangulo | Abraham Isai Guzman | Abraham I Guzman Angulo | Abraham Isai Guzman Angulo | Abraham Guzman Angulo
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Abraham Isai Guzman'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 20, 2023 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 600 Portland Ave S Msc 7100, Minneapolis, MN 55415RIA
BD
CRD#: 18387
Minneapolis, MN
Past
May 25, 2023 - July 19, 2023
PFS INVESTMENTS INC.
BD
CRD#: 10111
PALM DESERT, CA
Past
September 20, 2018 - July 20, 2021
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
PALM SPRINGS, CA
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
Alabama(7/21/2023)
RR
Alaska(7/21/2023)
RR
Arizona(7/21/2023)
RR
Arkansas(7/21/2023)
RR
California(7/20/2023)
RR
Colorado(7/21/2023)
RR
Connecticut(7/21/2023)
RR
Delaware(7/21/2023)
RR
District of Columbia(7/21/2023)
RR
Florida(7/21/2023)
RR
Georgia(7/21/2023)
RR
Hawaii(7/21/2023)
RR
Idaho(7/21/2023)
RR
Illinois(7/21/2023)
RR
Indiana(7/21/2023)
RR
Iowa(7/21/2023)
RR
Kansas(7/21/2023)
RR
Kentucky(7/21/2023)
RR
Louisiana(7/21/2023)
RR
Maine(7/21/2023)
RR
Maryland(7/21/2023)
RR
Massachusetts(7/21/2023)
RR
Michigan(7/21/2023)
RR
Minnesota(7/21/2023)
RR
Mississippi(7/21/2023)
RR
Missouri(7/21/2023)
RR
Montana(7/21/2023)
RR
Nebraska(7/21/2023)
RR
Nevada(7/21/2023)
RR
New Hampshire(7/21/2023)
RR
New Jersey(7/21/2023)
RR
New Mexico(7/21/2023)
RR
New York(7/21/2023)
RR
North Carolina(7/21/2023)
RR
North Dakota(7/21/2023)
RR
Ohio(7/21/2023)
RR
Oklahoma(7/21/2023)
RR
Oregon(7/21/2023)
RR
Pennsylvania(7/21/2023)
RR
Rhode Island(7/21/2023)
RR
South Carolina(7/21/2023)
RR
South Dakota(7/21/2023)
RR
Tennessee(7/21/2023)
RR
Texas(7/21/2023)
RR
Utah(7/21/2023)
RR
Vermont(7/21/2023)
RR
Virginia(7/21/2023)
RR
Washington(7/21/2023)
RR
West Virginia(7/21/2023)
RR
Wisconsin(7/21/2023)
RR
Wyoming(7/21/2023)
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.
