BH
Brian S. Hamm
THRIVENT INVESTMENT MANAGEMENT
Birdsboro, PA 19508
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CRD#: 7336795
BH
Professional summary
Brian S Hamm is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Birdsboro, Pennsylvania.
Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Brian has worked at 1 firm and has passed the Series 66, Series 7TO 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.
BRIAN AND LINDA HAMM RENTAL PROPERTY POSITION: owner NATURE: Rental property B21 located in Ramsgate Apartment complex in West Chester, PA, renting to college students INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 10/31/2000 ADDRESS: 620 S Franklin St, West Chester PA 19382, United States DESCRIPTION: Collect rent, pay invoices, inspect unit, make repairs to the rental unit or hire/schedule a contractor to make the repairs BRIAN S. HAMM, CPA POSITION: Owner NATURE: Tax preparation for immediate family members only and will not hold myself out as a CPA to the public. INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 0 START DATE: 01/01/1999 ADDRESS: 200 BRANDYWINE RD, COLLEGEVILLE PA 19426, United States DESCRIPTION: Preparation of income tax returns CODY COMPUTER SERVICES, INC. POSITION: Temp Controller NATURE: software company that supplies software to public safety, law enforcement and homeland security agencies INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 20 START DATE: 05/18/2022 ADDRESS: 1005 E High St, Pottstown PA 19464, United States DESCRIPTION: Serve as a temporary controller to fill in while the company searches for and hires a permanent controller. Last day of current controller is 5/20/22 and expect position would last less than a month. Position would prepare invoices, post cash receipts, process payments, and prepare cash flow reports. Would spend 10-15 hours per week performing these duties, with 10 hours during morning hours.
CRS (Client Relationship Summary) - RIA
Click below to view Brian S Hamm's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Brian S Hamm'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
August 4, 2021 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 895 Monocacy Creek Road, Birdsboro, PA 19508RIA
BD
CRD#: 18387
Birdsboro, PA
Current
July 14, 2021 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 895 Monocacy Creek Road, Birdsboro, PA 19508RIA
BD
CRD#: 18387
Birdsboro, PA
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
Colorado(4/22/2025)
RR
Delaware(10/1/2021)
RR
New Jersey(10/1/2021)
RR
New York(7/3/2025)
RR
Pennsylvania(8/4/2021)
IAR
Pennsylvania(8/4/2021)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 7/14/2021
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
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Company Information
THRIVENT INVESTMENT MANAGEMENT INC.
CRD#: 18387Birdsboro, PA 19508TRUST BUT VERIFY
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