CK
Christopher Kotch
THRIVENT INVESTMENT MANAGEMENT
Dallas, TX
Some features on this profile are disabled
CRD#: 6983156
CK
Professional summary
Christopher Kotch, CFP®, who also goes by Chris Kotch, Christopher Paul Kotch, is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Dallas, Texas.
Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Christopher has worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Chris Kotch | Christopher Paul Kotch
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.
(1) Name of Business: Carter Advisory Services Address: 12222 Merit Dr Ste 1800, Dallas, TX, 75251-3296, United States Activity Type: Independent RIA Position/Title: Advisor Investment Related: Yes Start Date: 12/19/2022 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 81+ Description of duties: Independent Advisor Representative for the RIA/ Preparation and ongoing monitoring of financial planning reviews (2) Name of Business: Carter Financial Management Address: 12222 Merit Dr Ste 1800, Dallas, TX, 75251-3296, United States Activity Type: Support Company - Non Owner Position/Title: Other Investment Related: No Start Date: 12/19/2022 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: This is simply how we present the name of the firm to the public and do business as Carter Financial Management. There are no responsibilities associated with this role.
CRS (Client Relationship Summary) - RIA
Click below to view Christopher Kotch's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Christopher Kotch'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®
Experience
Current
June 25, 2024 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #2: 236 Hamilton Rd, Cedarburg, WI 53012RIA
BD
CRD#: 18387
Dallas, TX
Current
June 25, 2024 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 236 Hamilton Rd, Cedarburg, WI 53012RIA
BD
CRD#: 18387
Cedarburg, WI
Past
January 4, 2023 - June 21, 2024
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
Dallas, TX
Past
January 4, 2023 - June 21, 2024
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
DALLAS, TX
Past
August 16, 2022 - September 29, 2022
ARBOR POINT ADVISORS
RIA
CRD#: 165127
SOUTHLAKE, TX
Past
September 7, 2021 - September 29, 2022
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
SOUTHLAKE, TX
Past
September 7, 2021 - September 29, 2022
SECURITIES AMERICA, INC.
BD
CRD#: 10205
SOUTHLAKE, TX
Past
May 26, 2020 - August 30, 2021
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
IRVING, TX
Past
September 21, 2018 - April 23, 2020
EDWARD JONES
RIA
CRD#: 250
COLLEYVILLE, TX
Past
August 28, 2018 - April 23, 2020
EDWARD JONES
BD
CRD#: 250
COLLEYVILLE, TX
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
Texas(6/25/2024)
IAR
Texas(6/25/2024)
RR
Wisconsin(7/23/2024)
IAR
Wisconsin(8/24/2024)
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)
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.
