NH
Nicholas S. Hubbard
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CRD#: 7069719
NH
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Nicholas Stewart Hubbard was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 2019. Nicholas had worked at 1 firm and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
ORTHODOX CHRISTIAN LEADERSHIP INITIATIVE POSITION: Treasurer NATURE: Purpose of training in the Orthodox Christian principles of leadership, other religious and social action of the faith, and mentoring of clergy with clergy and parishioners with parishioners. INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 11/22/2022 ADDRESS: 7717 Regency Square, Houston TX 77036, United States DESCRIPTION: Keep complete and accurate accounts of receipts and disbursements of the Corporation and shall deposit money and other valuable property of the Corporation in the name and to the credit of the Corporation in banks or depositories designated by the Board of Directors or assign these tasks to the Executive Director. Whenever required by the Board of Directors, the Treasurer shall prepare and provide a statement of accounts. The Treasurer shall at all reasonable times exhibit the books and accounts to any officer or Director of the Corporation and shall perform all other duties incident to the office of Treasurer, subject to the supervision of the Board.The Treasurer shall be added as a designated approver to the checking account, the payroll account, and the appropriate state tax revenue and unemployment insurance accounts for ensuring withholding tax is up to date. ORTHODOX CHURCH IN AMERICA, DIOCESE OF THE SOUTH POSITION: Attached Priest NATURE: The Orthodox Church in America's Diocese of the South oversees approximately 100 parishes throughout the South. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 02/01/2022 ADDRESS: 4222 Wycliff Ave., Dallas TX 75219, United States DESCRIPTION: I am no longer serving as a priest assigned to serve a specific parish. However, I am still an ordained priest in my church and may be asked to serve as a substitute priest within my Diocese. ST RAPHAEL SCHOOL POSITION: Instructor NATURE: St. Raphael is an Orthodox school that is part of Schole Academy, as a "school within a school." This means that while St. Raphael School functions as a dedicated Orthodox academy, we also enjoy the benefits of being affiliated with a larger Christian classical online academy. It primarily serves homeschooling families k-12.https://raphaelschool.org/ INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 08/22/2022 ADDRESS: 515 S. 32nd St., Camp Hill PA 17011, United States DESCRIPTION: Provide weekly theological education to students in courses specific to their Christian Formation.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
September 10, 2019 - October 31, 2022
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
CRD#: 18387
Albany, NY
Past
September 6, 2019 - October 31, 2022
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
Albany, NY
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.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 9/6/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
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.
