RD
Raphael A. Davy
THRIVENT INVESTMENT MANAGEMENT
Atlanta, GA 30339
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CRD#: 7189141
RD
Professional summary
Raphael Alexander Davy, who also goes by Raphael Alexander Davy, Raphael Davy, is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Atlanta, Georgia.
Raphael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Raphael has worked at 5 firms and has passed the Series 66, Series 63, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Raphael Alexander Davy | Raphael Davy
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.
VARSITY TUTORS POSITION: Tutor NATURE: Varsity Tutors is a tutoring organization headquartered in St. Louis, MO. Varsity Tutors hire tutors to help students learn an assortment of subject areas at the primary, secondary, college, graduate and professional levels. INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 0 START DATE: 05/20/2019 ADDRESS: 223 Jones St, St Louis MO 83101, United States DESCRIPTION: I tutor adult students who are interested in passing their SIE, Series 7, 63, 65 or 66 securities exams.
CRS (Client Relationship Summary) - RIA
Click below to view Raphael Alexander Davy's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Raphael Alexander Davy'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
June 9, 2025 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 200 Galleria Pkwy Se, Atlanta, GA 30339RIA
BD
CRD#: 18387
Atlanta, GA
Current
June 6, 2025 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 200 Galleria Pkwy Se, Atlanta, GA 30339RIA
BD
CRD#: 18387
Atlanta, GA
Past
February 13, 2025 - April 16, 2025
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
ATLANTA, GA
Past
February 4, 2025 - April 16, 2025
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
ATLANTA, GA
Past
October 10, 2024 - November 25, 2024
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
ATLANTA, GA
Past
September 11, 2024 - November 25, 2024
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
ATLANTA, GA
Past
June 10, 2022 - December 20, 2023
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
Atlanta, GA
Past
September 17, 2021 - April 20, 2022
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
WOODSTOCK, GA
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
Georgia(6/9/2025)
IAR
Georgia(6/9/2025)
RR
Maryland(8/19/2025)
IAR
Texas(8/26/2025)
RR
Texas(8/31/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 9/16/2021
General Securities Representative ExaminationGeneral 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)
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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.
