KD
Kathleen G. Dufner
THRIVENT INVESTMENT MANAGEMENT
Anoka, MN
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CRD#: 7276693
KD
Professional summary
Kathleen Grace Dufner, who also goes by Kathleen Heinecke, is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Anoka, Minnesota.
Kathleen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Kathleen has worked at 1 firm and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kathleen Heinecke
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.
PARTNERSHIP FOR COMMUNITY TRANSFORMATION (PACT) POSITION: Board Member NATURE: PACT connects with small, indigenous led, non-governmental organizations who work in poor communities where people have limited access to healthcare, education and basic needs. They share their stories, raise funds and periodically visit the partner organizations (Center for Changing Lives Liberia and the Good Crocodile Foundation) to build healthy communities. INVESTMENT RELATED: No NUMBER OF HOURS: 7 SECURITIES TRADING HOURS: 0 START DATE: 09/04/2025 ADDRESS: 1129 E 7th Street, Duluth MN 55805, United States DESCRIPTION: in the 5-8 hours of board work each month I'll be setting the strategy and structure, as well as providing financial oversight for PACT. Additionally, I'll be raising funds and providing support for the grass-roots partner organizations.
CRS (Client Relationship Summary) - RIA
Click below to view Kathleen Grace Dufner's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kathleen Grace Dufner'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
December 22, 2020 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #2: 600 Portland Ave S, Minneapolis, MN 55415RIA
BD
CRD#: 18387
Anoka, MN
Current
November 2, 2020 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 600 Portland Ave S, Minneapolis, MN 55415RIA
BD
CRD#: 18387
Minneapolis, MN
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
Minnesota(12/22/2020)
IAR
Minnesota(12/22/2020)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 10/31/2020
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
