CF
Connor Farnsley
THRIVENT INVESTMENT MANAGEMENT
Columbus, IN
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CRD#: 7434818
CF
Professional summary
Connor Farnsley is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Columbus, Indiana.
Connor is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Connor has worked at 3 firms 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.
1) 05-18-2022-Centra Credit Union- Investment Related- At Reported Business Location(s)- Financial Institution Duty-Advisor-START DATE: 8/2/2021-160 Hours per Month/160 Hours During Securities Trading- 2) 05-18-2022-Centra Financial Services- Investment Related- At Reported Business Location(s)- DBA for LPL Business (entity for LPL business)- HOOPS GROWTH ACADEMY POSITION: Owner/Basketball Trainer NATURE: My business will be to personally train young basketball players to develop skills, character, and IQ. I will focus on basketball shooter and form development. INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 5 START DATE: 04/01/2025 ADDRESS: 3462 Limestone Ln, Apt 2224, Columbus IN 47201, United States DESCRIPTION: I will be meeting with players 1 on 1 or in groups to teach basketball skills. I will create coaching programs to effectively train.
CRS (Client Relationship Summary) - RIA
Click below to view Connor Farnsley's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Connor Farnsley'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
April 2, 2024 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
BD
CRD#: 18387
Columbus, IN
Current
April 2, 2024 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 600 Portland Ave S Msc 7100, Minneapolis, MN 55415RIA
BD
CRD#: 18387
Minneapolis, MN
Past
May 18, 2022 - March 26, 2024
LPL FINANCIAL LLC
RIA
CRD#: 6413
Columbus, IN
Past
May 18, 2022 - March 26, 2024
LPL FINANCIAL LLC
BD
CRD#: 6413
Columbus, IN
Past
November 11, 2021 - May 18, 2022
CUNA BROKERAGE SERVICES, INC.
RIA
CRD#: 13941
Columbus, IN
Past
September 20, 2021 - May 18, 2022
CUNA BROKERAGE SERVICES, INC.
BD
CRD#: 13941
Columbus, IN
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(2/10/2025)
RR
Alaska(2/10/2025)
RR
Arizona(2/10/2025)
RR
Arkansas(2/10/2025)
RR
California(2/10/2025)
RR
Colorado(7/26/2024)
RR
Connecticut(2/10/2025)
RR
Delaware(2/10/2025)
RR
District of Columbia(2/10/2025)
IAR
District of Columbia(2/11/2025)
RR
Florida(5/3/2024)
RR
Georgia(2/10/2025)
RR
Hawaii(2/10/2025)
RR
Idaho(2/10/2025)
RR
Illinois(5/3/2024)
RR
Indiana(4/2/2024)
IAR
Indiana(4/2/2024)
RR
Iowa(2/10/2025)
RR
Kansas(2/10/2025)
RR
Kentucky(5/3/2024)
RR
Louisiana(2/10/2025)
RR
Maine(2/10/2025)
RR
Maryland(2/10/2025)
RR
Massachusetts(2/10/2025)
RR
Michigan(5/3/2024)
RR
Minnesota(2/10/2025)
RR
Mississippi(2/10/2025)
RR
Missouri(5/3/2024)
RR
Montana(2/10/2025)
RR
Nebraska(2/10/2025)
RR
Nevada(2/10/2025)
RR
New Hampshire(2/10/2025)
RR
New Jersey(2/10/2025)
RR
New Mexico(2/10/2025)
RR
New York(2/10/2025)
RR
North Carolina(7/26/2024)
RR
North Dakota(2/10/2025)
RR
Ohio(5/3/2024)
RR
Oklahoma(2/10/2025)
IAR
Oklahoma(2/11/2025)
RR
Oregon(2/10/2025)
RR
Pennsylvania(2/10/2025)
RR
Rhode Island(2/10/2025)
RR
South Carolina(2/10/2025)
RR
South Dakota(2/10/2025)
RR
Tennessee(2/10/2025)
RR
Texas(7/11/2024)
IAR
Texas(7/11/2024)
RR
Utah(2/10/2025)
RR
Vermont(2/10/2025)
RR
Virginia(2/10/2025)
RR
Washington(2/10/2025)
RR
West Virginia(2/10/2025)
RR
Wisconsin(2/10/2025)
RR
Wyoming(7/26/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 9/20/2021
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.
