PC
Pamela T. Cao
THRIVENT INVESTMENT MANAGEMENT
Jacksonville, FL
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CRD#: 7433187
PC
Professional summary
Pamela Tuyet Ninh Cao, who also goes by Pamela Tuyet Ninh Cao, Pamela Cao, is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Jacksonville, Florida.
Pamela is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Pamela has worked at 4 firms and has passed the Series 66, Series 99TO, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Pamela Tuyet Ninh Cao | Pamela Cao
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.
RENTAL PROPERTY POSITION: Landlord NATURE: It is a rental property in Jacksonville, FL in which I receive rental income from a current tenant that is leasing the property. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 11/06/2024 ADDRESS: 5481 Brentview Ct, Jacksonville FL 32210, United States DESCRIPTION: I maintain the property, collect rent, and ensure that the tenants are following the terms of the lease agreement.
CRS (Client Relationship Summary) - RIA
Click below to view Pamela Tuyet Ninh Cao's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Pamela Tuyet Ninh Cao'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 17, 2024 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #3: 10730 Lincoln Hwy, Van Wert, OH 45891Office #4: 15146 County Road M1, Napoleon, OH 43545RIA
BD
CRD#: 18387
Jacksonville, FL
Current
December 17, 2024 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #3: 10730 Lincoln Hwy, Van Wert, OH 45891Office #4: 15146 County Road M1, Napoleon, OH 43545RIA
BD
CRD#: 18387
Jacksonville, FL
Past
May 12, 2023 - December 17, 2024
LPL FINANCIAL LLC
RIA
CRD#: 6413
JACKSONVILLE, FL
Past
May 11, 2023 - December 17, 2024
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Past
February 15, 2022 - April 27, 2023
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
JACKSONVILLE, FL
Past
November 16, 2021 - April 24, 2023
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
JACKSONVILLE, FL
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
Florida(1/7/2025)
IAR
Florida(1/23/2025)
RR
Indiana(1/7/2025)
RR
Michigan(1/7/2025)
RR
Missouri(12/17/2024)
RR
Ohio(1/8/2025)
IAR
Ohio(3/7/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 5/11/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 11/16/2021
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.
