Rick Weatherholt
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.
Rick Weatherholt was a registered financial professional .
Rick is a previously registered financial professional and started their career in finance in 2020. Rick had worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 7, 2020 - February 11, 2021
THRIVENT ADVISOR NETWORK, LLC
September 4, 2020 - October 28, 2020
THRIVENT INVESTMENT MANAGEMENT INC.
August 7, 2020 - October 28, 2020
THRIVENT INVESTMENT MANAGEMENT INC.
Primary Firm SEC Registration
THRIVENT ADVISOR NETWORK, LLC
CRD#: 304569 / SEC#: 801-117013
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 8/7/2020
General Securities Representative ExaminationCurrent Firm
THRIVENT ADVISOR NETWORK, LLC
CRD#: 304569 / SEC#: 801-117013
Contact information
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
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