ML
Mona K. Lara
THRIVENT ADVISOR NETWORK
Colorado Springs, CO
CRD#: 6983079
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ML
Mona Kay LaraTHRIVENT ADVISOR NETWORK
Professional summary
Mona Kay Lara, who also goes by Mona Kay Baucom, is a registered financial advisor currently at THRIVENT ADVISOR NETWORK, LLC located in Colorado Springs, Colorado and THRIVENT INVESTMENT MANAGEMENT INC. located in Colorado Springs, Colorado.
Mona is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Mona has worked at 2 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mona Kay Baucom
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) - RIA
Click below to view Mona Kay Lara'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
April 27, 2026 - Present
THRIVENT ADVISOR NETWORK, LLC
RIA
CRD#: 304569
Colorado Springs, CO
Current
September 18, 2018 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 13710 Struthers Road, Colorado Springs, CO 80921Office #2: 357 Mccaslin Blvd, Louisville, CO 80027RIA
BD
CRD#: 18387
Colorado Springs, CO
Past
November 28, 2018 - June 3, 2026
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
CRD#: 18387
Colorado Springs, CO
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".
TA
THRIVENT ADVISOR NETWORK, LLC
49 FINANCIAL GROUP | TM3 WEALTH | THRIVENT ADVISOR NETWORK, LLC | SOLOMON PRIVATE WEALTH | SEA GLASS WEALTH ADVISORS | RETIREPATH ADVISORS | PRAIRIEVIEW WEALTH PARTNERS | PITON WEALTH | PERSPECTIVE PLANNING PARTNERS | PERSPECTIVE FINANCIAL SERVICES | PASSAGE WEALTH | PARABLE WEALTH PARTNERS | PALOMAR WEALTH | NORTH OAKS FINANCIAL GROUP | M25 ADVISORS | LOUIS C. CILIBERTI & ASSOCIATES, LTD | LIGHTHOUSE WEALTH PARTNERS | LANDMARK WEALTH MANAGEMENT GROUP | KEIL FINANCIAL PARTNERS | INTENTGEN FINANCIAL PARTNERS | INFLECTION WEALTH MANAGEMENT | HILLCREST FINANCIAL GROUP | EVEXIA WEALTH | CROSSROADS FINANCIAL GROUP | CONCOURS CAPITAL ADVISORS | CEDAR COVE WEALTH PARTNERS | AWAKEN WEALTH PARTNERS | ARBORBROOK FINANCIAL CONSULTANTS | ADVENT PARTNERS | ABIDING WEALTH PARTNERS | 5280 ASSOCIATES
CRD#: 304569 / SEC#: 801-117013
RIA
Registered Investment Advisory firm - (7/24/2019 Approved)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
Arizona(4/6/2021)
RR
California(10/21/2021)
RR
Colorado(10/11/2018)
IAR
Colorado(4/27/2026)
RR
Florida(4/6/2021)
RR
Georgia(4/6/2021)
RR
Illinois(10/30/2018)
RR
Kansas(10/19/2020)
RR
Louisiana(1/17/2024)
IAR
Louisiana(4/27/2026)
RR
Maryland(4/10/2019)
RR
Michigan(8/18/2023)
RR
Mississippi(5/14/2025)
RR
Missouri(10/22/2018)
IAR
Nebraska(4/27/2026)
RR
Nevada(4/24/2026)
RR
New Mexico(10/23/2018)
RR
New York(2/21/2022)
RR
Ohio(10/19/2020)
RR
Oklahoma(10/22/2018)
RR
Oregon(9/23/2019)
RR
Texas(10/22/2018)
IAR
Texas(4/27/2026)
RR
Virginia(10/21/2021)
RR
Wyoming(4/6/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TA
THRIVENT ADVISOR NETWORK, LLC
49 FINANCIAL GROUP | TM3 WEALTH | THRIVENT ADVISOR NETWORK, LLC | SOLOMON PRIVATE WEALTH | SEA GLASS WEALTH ADVISORS | RETIREPATH ADVISORS | PRAIRIEVIEW WEALTH PARTNERS | PITON WEALTH | PERSPECTIVE PLANNING PARTNERS | PERSPECTIVE FINANCIAL SERVICES | PASSAGE WEALTH | PARABLE WEALTH PARTNERS | PALOMAR WEALTH | NORTH OAKS FINANCIAL GROUP | M25 ADVISORS | LOUIS C. CILIBERTI & ASSOCIATES, LTD | LIGHTHOUSE WEALTH PARTNERS | LANDMARK WEALTH MANAGEMENT GROUP | KEIL FINANCIAL PARTNERS | INTENTGEN FINANCIAL PARTNERS | INFLECTION WEALTH MANAGEMENT | HILLCREST FINANCIAL GROUP | EVEXIA WEALTH | CROSSROADS FINANCIAL GROUP | CONCOURS CAPITAL ADVISORS | CEDAR COVE WEALTH PARTNERS | AWAKEN WEALTH PARTNERS | ARBORBROOK FINANCIAL CONSULTANTS | ADVENT PARTNERS | ABIDING WEALTH PARTNERS | 5280 ASSOCIATES
CRD#: 304569 / SEC#: 801-117013
RIA
Registered Investment Advisory firm - (7/24/2019 Approved)Loading...
Contact information
Main Address
600 Portland Avenue South, Minneapolis, MN 55415
Mailing Address
Phone number
(612) 844-8444
Established
Firm type
Fiscal year end
# of Employees
139
SEC notice filing (47 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 28,545 |
| AUM (Assets Under Management) | $ 6,648,306,479 |
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.
