AT
Arpad J. Tota
THRIVENT INVESTMENT MANAGEMENT
Santee, CA
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CRD#: 7234335
AT
Professional summary
Arpad John Tota, who also goes by A.j. Tota, is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Santee, California.
Arpad is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Arpad has worked at 4 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
A.j. Tota
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.
KIWANIS CLUB OF SANTEE POSITION: Immediate Past President NATURE: Kiwanis International (kiwanis.org) is an international community support organization 501(c)4 serving children since 1919. This local chapter has been in the community for over 50 years and is managed by a volunteer, unpaid, Board of Directors. I am a member of the club and just completed a year as President. I hope to continue in various Board positions and participate in various community events as organizer and supporter (santeekiwanis.org) INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 5 START DATE: 10/04/2024 ADDRESS: P.O. Box 710432, Santee CA 92072, United States DESCRIPTION: Serve as member of the Board of Directors to plan and organize various community service activities oriented toward serving youth and their families. Each Board member serves to promote the recruitment of members and volunteers as well as donations and sponsors in support of the various activities. Direction of funds is limited to one vote. Actual funds management is by Treasurer and President SAN DIEGO CENTER FOR ECONOMIC EDUCATION AT CUYAMACA COLLEGE POSITION: Advisory Board Member NATURE: A College hosted advocacy group and provider of resources for economic and financial literacy to the community INVESTMENT RELATED: No NUMBER OF HOURS: 6 SECURITIES TRADING HOURS: 0 START DATE: 03/15/2025 ADDRESS: 900 Rancho San Diego Pkwy, El Cajon CA 92019, United States DESCRIPTION: Engaging in Board meeting conversations to share ideas for promoting financial literacy in the schools and communities of San Diego. https://sites.google.com/view/sdcee/about/advisory-board
CRS (Client Relationship Summary) - RIA
Click below to view Arpad John Tota's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Arpad John Tota'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
September 3, 2024 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #2: 9510 Cuyamaca St, Santee, CA 92071RIA
BD
CRD#: 18387
Santee, CA
Current
September 3, 2024 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 9510 Cuyamaca St, Santee, CA 92071RIA
BD
CRD#: 18387
Santee, CA
Past
May 24, 2021 - June 10, 2024
BANKERS LIFE ADVISORY SERVICES, INC.
RIA
CRD#: 281285
San Diego, CA
Past
May 24, 2021 - June 10, 2024
BANKERS LIFE SECURITIES, INC.
BD
CRD#: 173962
SAN DIEGO, CA
Past
April 13, 2021 - April 27, 2021
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
SAN DIEGO, CA
Past
April 12, 2021 - April 27, 2021
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
SAN DIEGO, CA
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
California(9/3/2024)
IAR
California(9/3/2024)
RR
Oregon(9/30/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 4/12/2021
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.
