ML
Mona K. Lara
THRIVENT INVESTMENT MANAGEMENT
Colorado Springs, CO 80921
Some features on this profile are disabled
CRD#: 6983079
ML
Professional summary
Mona Kay Lara, who also goes by Mona Kay Baucom, is a registered financial advisor currently at 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 1 firm 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.
JUNEANDELLIOTT POSITION: Co-Owner NATURE: This is a business my daughters are working to build. They are currently working on building a concept around selling dog treats. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2022 ADDRESS: 8110 Dartmoor Ct, Colorado Springs CO 80920, United States DESCRIPTION: I will be helping them build out business model, products, marketing and manage financial aspects. PIKES PEAK CHILDREN'S MUSEUM POSITION: Board Member NATURE: The Children's Museum is working to rebuild in Colorado Springs so it can provide interactive experiences to children and their families, enriching art and exploration opportunities. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 07/11/2024 ADDRESS: PO BOX 50705, Colorado Springs CO 80949, United States DESCRIPTION: As a board member, I will be helping to guide and promote the rebuilding of the children's museum. I will help make connections with community leaders and build a strong support base. I will attend quarterly board meetings and events as possible. I will provide input on the direction and goals of the museum. PIKES PEAK CHILDREN'S MUSEUM POSITION: Interim President NATURE: The Children's Museum is working to rebuild in Colorado Springs so it can provide interactive experiences to children and their families, enriching art and exploration opportunities. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 06/20/2025 ADDRESS: PO BOX 50705, Colorado Springs CO 80949, United States DESCRIPTION: As interim president, I will lead the search for a new president while also helping with day to day continuation of the board. I will be helping to guide and promote the rebuilding of the children's museum. I will help make connections with community leaders and build a strong support base. I will attend quarterly board meetings and events as possible. I will provide input on the direction and goals of the museum.
CRS (Client Relationship Summary) - RIA
Click below to view Mona Kay Lara's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
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
November 28, 2018 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 13710 Struthers Road, Colorado Springs, CO 80921Office #3: 357 Mccaslin Blvd, Louisville, CO 80027RIA
BD
CRD#: 18387
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
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
Arizona(4/6/2021)
RR
California(10/21/2021)
RR
Colorado(10/11/2018)
IAR
Colorado(11/28/2018)
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)
RR
Maine(9/5/2023)
RR
Maryland(4/10/2019)
RR
Michigan(8/18/2023)
RR
Minnesota(4/6/2021)
RR
Mississippi(5/14/2025)
RR
Missouri(10/22/2018)
RR
Montana(4/6/2021)
RR
New Hampshire(4/6/2021)
RR
New Mexico(10/23/2018)
RR
New York(2/21/2022)
RR
North Carolina(1/2/2025)
RR
Ohio(10/19/2020)
RR
Oklahoma(10/22/2018)
IAR
Oklahoma(11/28/2018)
RR
Oregon(9/23/2019)
RR
South Carolina(10/21/2021)
RR
Texas(10/22/2018)
IAR
Texas(11/28/2018)
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
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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
Company Information
THRIVENT INVESTMENT MANAGEMENT INC.
CRD#: 18387Colorado Springs, CO 80921TRUST BUT VERIFY
Monitor Mona Lara
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
