JO
John O'day
THRIVENT INVESTMENT MANAGEMENT
Fargo, ND 58104
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CRD#: 7430552
JO
Professional summary
John O'day IV, who also goes by John Oday, John Oday IV, is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Fargo, North Dakota.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. John has worked at 1 firm and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
John Oday | John Oday Iv
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.
COLLEGE GRIDIRON SHOWCASE POSITION: Field Manager NATURE: This organization conducts a football showcase for college seniors who have declared for the draft. The purpose of this showcase is to provide information to professional sports teams on the athletes as well as educate them about becoming a professional athlete. INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 1 START DATE: 01/05/2024 ADDRESS: 1001 Pioneer Dr., Holmen WI 54636, United States DESCRIPTION: I will be in charge of all activities on the field. Making sure the players, coaches, athletic trainers, scouts and agents have everything they need while using the field. There will also be other duties as assigned. PGA TOUR CHAMPIONS POSITION: Caddie NATURE: Professional golf organization running a tournament in Brainerd, MN. This tournament also serves as a fundraising opportunity for the local hospital. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 08/28/2025 ADDRESS: 112 PGA Tour Blvd, Ponte Vedra Beach FL 32082, United States DESCRIPTION: I will be assisting a professional golfer during their rounds of play for the weekend.
CRS (Client Relationship Summary) - RIA
Click below to view John O'day IV's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John O'day IV'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 6, 2021 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 3575 45th Street S Ste 104, Fargo, ND 58104RIA
BD
CRD#: 18387
Fargo, ND
Current
November 5, 2021 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 3575 45th Street S Ste 104, Fargo, ND 58104RIA
BD
CRD#: 18387
Fargo, ND
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
Alabama(5/14/2024)
RR
Alaska(5/14/2024)
RR
Arizona(2/17/2022)
RR
California(2/17/2022)
RR
Colorado(5/3/2024)
RR
District of Columbia(5/14/2024)
IAR
District of Columbia(5/20/2024)
RR
Florida(5/14/2024)
RR
Georgia(5/14/2024)
RR
Hawaii(2/17/2022)
RR
Idaho(5/3/2024)
RR
Illinois(5/3/2024)
RR
Indiana(5/3/2024)
RR
Iowa(5/3/2024)
RR
Kansas(5/3/2024)
RR
Kentucky(4/10/2025)
RR
Maine(5/3/2024)
RR
Maryland(5/3/2024)
RR
Massachusetts(4/10/2025)
RR
Michigan(5/15/2024)
RR
Minnesota(12/21/2021)
RR
Mississippi(5/3/2024)
RR
Missouri(5/3/2024)
RR
Montana(5/3/2024)
RR
Nebraska(5/3/2024)
RR
Nevada(5/3/2024)
RR
New Hampshire(5/3/2024)
RR
New Jersey(5/3/2024)
RR
New Mexico(9/26/2025)
RR
New York(5/3/2024)
RR
North Carolina(5/3/2024)
RR
North Dakota(11/24/2021)
IAR
North Dakota(12/6/2021)
RR
Oregon(5/3/2024)
RR
Pennsylvania(5/3/2024)
RR
South Carolina(5/3/2024)
RR
South Dakota(12/21/2021)
RR
Tennessee(5/3/2024)
RR
Texas(1/3/2023)
IAR
Texas(1/3/2023)
RR
Utah(5/3/2024)
RR
Virginia(5/3/2024)
RR
Washington(12/21/2021)
RR
Wisconsin(12/21/2021)
RR
Wyoming(5/3/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 11/5/2021
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.
