Raphael A. Davy

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CRD#: 7189141

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.

Raphael Alexander Davy, who also goes by Raphael Alexander Davy, Raphael Davy, was a registered financial professional .

Raphael is a previously registered financial professional and started their career in finance in 2021. Raphael had worked at 5 firms and has passed the Series 66, Series 63, Series 7TO and SIE exams.

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.

TRACS GROUP POSITION: Account Executive NATURE: TRACS Group is a tax credit consulting firm that identifies and secure federal and Georgia state tax credits and rebates for qualifying businesses with 50 or more full-time employees. The firm specializes in programs including Georgia Job Tax Credits, Work Opportunity Tax Credits, and approximately 90 additional federal and state tax incentive programs available to businesses operating in qualifying Georgia counties, opportunity zones, and military zones. TRACS Group works directly with qualifying businesses' HR departments and CPAs to analyze payroll data, generate tax credit documentation, and recover refunds - reducing or eliminating tax liability to stimulate business growth and local economic development in Georgia. INVESTMENT RELATED: No NUMBER OF HOURS: 16 SECURITIES TRADING HOURS: 4 START DATE: 05/11/2026 ADDRESS: 11300 Lakefield Dr, Johns Creek GA 30097, United States DESCRIPTION: As an Account Executive, my responsibilities include identifying and referring businesses with 50 or more full-time employees that may qualify for Georgia state and federal tax credit programs based on their physical business location and workforce size; attending appointments jointly with TRACS Group representatives to introduce the tax credit consultation service to qualifying businesses; assisting the client engagement process by facilitating communication between the business and TRACS Group. The Businesses I would refer are identified through my professional community networks including Chamber of Commerce memberships, community organization affiliations, and publicly available business information (e.g., company name, business address, officer names from public records, and legal structure).

Blog Corner

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®

None

Experience

Past

June 9, 2025 - July 28, 2026

THRIVENT INVESTMENT MANAGEMENT INC.

RIA

CRD#: 18387

Atlanta, GA

Past

June 6, 2025 - July 28, 2026

THRIVENT INVESTMENT MANAGEMENT INC.

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

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

CRD#: 6627

ATLANTA, GA

Past

June 10, 2022 - December 20, 2023

J.P. MORGAN SECURITIES LLC

CRD#: 79

Atlanta, GA

Past

September 17, 2021 - April 20, 2022

HORNOR, TOWNSEND & KENT, LLC

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".

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)

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/8/2024

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/18/2022

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 9/16/2021

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 1/14/2021

Securities Industry Essentials Examination

Current Firm

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)

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

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

THRIVENT INVESTMENT MANAGEMENT INC MANAGED ACCOUNTS PROGRAM (2/11/2026)

THRIVENT INVESTMENT MANAGEMENT INC. DEDICATED PLANNING SERVICES (12/12/2025)

THRIVENT INVESTMENT MANAGEMENT INC. ADVISORFLEX MANAGED VARIABLE ANNUITY PROGRAM (6/30/2025)

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

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/22/2026	Cover Page	Report
10/21/2024	Cover Page	Report
01/25/2024	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Raphael A. Davy

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

THRIVENT INVESTMENT MANAGEMENT INC.

PARK AVENUE SECURITIES LLC

PARK AVENUE SECURITIES LLC

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

J.P. MORGAN SECURITIES LLC

HORNOR, TOWNSEND & KENT, LLC

Primary Firm SEC Registration

THRIVENT INVESTMENT MANAGEMENT INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 10/8/2024

Series 63

Date: 7/18/2022

Series 7TO

Date: 9/16/2021

SIE

Date: 1/14/2021

Current Firm

THRIVENT INVESTMENT MANAGEMENT INC.

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

THRIVENT INVESTMENT MANAGEMENT INC.

TRUST BUT VERIFY

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