DB
David M. Brown
THRIVENT INVESTMENT MANAGEMENT
Rock Hill, SC 29730
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CRD#: 7225599
DB
Professional summary
David Michael Brown is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Rock Hill, South Carolina.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. David has worked at 3 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
THE WELCOME TABLE POSITION: Pastor / Servant-Leader NATURE: The Welcome Table is a local Christian (non-denominational) congregation serving the Rock Hill community. It meets for weekly worship and missional engagement opportunities. INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 0 START DATE: 05/06/2018 ADDRESS: PO Box 4653, Rock Hill SC 29732, United States DESCRIPTION: I serve as a volunteer pastor and servant-leader at The Welcome Table, a congregation I helped to form in 2018. I am not paid for this role and have no financial authority in the organization. FAMILY PROMISE OF YORK COUNTY POSITION: Board Member NATURE: A comprehensive and compassionate ministry providing meals, shelter, and case management to homeless families in York County, SC through a community network of congregations and individuals. INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2022 ADDRESS: 404 E. Main Street, Rock Hill SC 29730, United States DESCRIPTION: I serve on the board for Family Promise, which meets monthly to offer direction and guidance to the Executive Director and other employees, to coordinate events, and expand the ministries network in the community. PINNACLE LEADERSHIP ASSOCIATES POSITION: Coach / Consultant NATURE: Pinnacle provides coaching, consulting, and training to pastors and churches, helping them to discover and pursue God's mission in the world. INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 4 START DATE: 06/01/2012 ADDRESS: 574 Foxstone Drive, Chapin SC 29036, United States DESCRIPTION: Through Pinnacle, I work with churches in time-specific consulting engagements around interim/transitions, mission/strategy, and conflict resolution. I also offer one-on-one coaching and serve as faculty in our church consultant training academy.
CRS (Client Relationship Summary) - RIA
Click below to view David Michael Brown's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David Michael Brown'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
April 16, 2025 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 153 South Oakland Avenue, Rock Hill, SC 29730RIA
BD
CRD#: 18387
Rock Hill, SC
Current
April 16, 2025 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 153 South Oakland Avenue, Rock Hill, SC 29730RIA
BD
CRD#: 18387
Rock Hill, SC
Past
January 5, 2023 - April 4, 2025
EAGLE STRATEGIES LLC
RIA
CRD#: 110826
ROCK HILL, SC
Past
July 16, 2020 - April 4, 2025
NYLIFE SECURITIES LLC
BD
CRD#: 5167
ROCK HILL, SC
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
North Carolina(5/21/2025)
RR
South Carolina(4/16/2025)
IAR
South Carolina(4/16/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 9/19/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 7/16/2020
Investment Company Products/Variable Contracts 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.
