MM
Marco J. Mascitti
THRIVENT INVESTMENT MANAGEMENT
Madison, WI 53711
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CRD#: 7197513
MM
Professional summary
Marco J Mascitti, who also goes by Marco Mascitti, is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Madison, Wisconsin.
Marco is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Marco has worked at 1 firm and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Marco Mascitti
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.
MARCO MASCITTI-CREATIVE PROJECTS POSITION: Author/Musician NATURE: Pursuing a hobby of creative writing and music, releasing recorded music projects and submitting various writing projects(non financial) to contests and publications. INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 03/15/2022 ADDRESS: 5464 Congress Avenue, Apt 4, Madison WI 53718 DESCRIPTION: Creating content and submitting to various platforms. Performing or reading at public events (non financial). THE WISCONSIN CONSERVATION HALL OF FAME POSITION: Foundation Board President NATURE: The Wisconsin Conservation Hall of Fame Foundation was established to encourage the growth and practice of a conservation ethic as a legacy for the people of the state. INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 5 START DATE: 01/09/2023 ADDRESS: 2419 North Point Drive, Stevens Point WI 54481 DESCRIPTION: Lead scheduled board meetings, work with technology for the group (setting up Zoom meetings, etc), and contribute ideas and general guidance to advance the group's mission. I will be assisting with the annual induction ceremony and will also be helping with fundraising activities. WISCONSIN WILDLIFE FEDERATION-PARK, FORESTRY AND RECREATION COMMITTEE POSITION: Parks, Forestry and Recreation Committee Member NATURE: Wildlife and natural resources advocacy, conservation, and education. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/21/2021 ADDRESS: PO Box 460, Poynette WI 53955, United States DESCRIPTION: Attend regular meetings and provide insight/discussion content. MONROE STREET MERCHANTS ASSOCIATION POSITION: Board Vice President NATURE: The Monroe Street Merchants Association is made up of a variety of small businesses that share the common goal of creating a vibrant street and business community INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 01/18/2022 ADDRESS: 1721 Monroe Street, Madison WI 53711, United States DESCRIPTION: Help with events and website maintenance, creating promotional materials, and general communication with the group's members and the community at large. Provide input at regular monthly board meetings.
CRS (Client Relationship Summary) - RIA
Click below to view Marco J Mascitti's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Marco J Mascitti'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
May 28, 2020 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 2608 Monroe Street, Madison, WI 53711RIA
BD
CRD#: 18387
Madison, WI
Current
March 12, 2020 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 2608 Monroe Street, Madison, WI 53711RIA
BD
CRD#: 18387
Madison, WI
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
Michigan(1/22/2021)
RR
Minnesota(2/29/2024)
RR
Pennsylvania(3/29/2023)
RR
South Carolina(5/31/2023)
RR
Wisconsin(5/28/2020)
IAR
Wisconsin(5/28/2020)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 3/12/2020
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.
