NL
Nicholas Lawson
THRIVENT INVESTMENT MANAGEMENT
St Louis, MO 63131
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CRD#: 7468085
NL
Professional summary
Nicholas Lawson, who also goes by Nick Lawson, is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in St Louis, Missouri.
Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Nicholas has worked at 1 firm and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nick Lawson
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.
AVISBUDGETGROUP POSITION: Independent Operator NATURE: Avis rental car provides a rental car service to customers in the travel industry. Budget car rental provides a rental car service to customers in the travel industry. Budget truck rental provides a box truck rental service to customer in the travel industry. INVESTMENT RELATED: No NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2011 ADDRESS: 13009 manchester rd, Des Peres MO 63131, United States DESCRIPTION: Staff and run the location. Currently I have stepped back to only supply support on the weekend and have a General Manager to run the day to day operations. NCL LLC POSITION: Independent Operator/ Owner NATURE: NCL LLC owns and operates an AVISBUDGETGROUP rental car location. NCL LLC Owns 33.33% of 3890 LLC which operates as a Solar install fulfillment company. INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2011 ADDRESS: 13009 manchester rd, Des Peres MO 63131, United States DESCRIPTION: Staff and run the Avis location. Currently I have stepped back to only supply support on the weekend and have a General Manager to run the day to day operations. Under 3890 LLC , My role is to help guide and establish leadership for the company and its growth. 3890 LLC POSITION: Co-Owner NATURE: 3890 LLC is an LLC a that operates a Solar install fulfillment company. 3890 LLC, dba AEGIS GRID INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 03/01/2025 ADDRESS: 14792 Clayton Rd, Ballwin MO 63011, United States DESCRIPTION: Co-Owner by 1/3rd of 3890 LLC via NCL LLC. My role with 3890 is to guide and establish leadership and growth in the company. I am not directly involved in the installation process.
CRS (Client Relationship Summary) - RIA
Click below to view Nicholas Lawson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Nicholas Lawson'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
March 23, 2022 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 1515 Des Peres Rd, St Louis, MO 63131RIA
BD
CRD#: 18387
St Louis, MO
Current
March 22, 2022 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 1515 Des Peres Rd, St Louis, MO 63131RIA
BD
CRD#: 18387
St Louis, MO
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
California(5/2/2025)
RR
Colorado(3/6/2024)
RR
Florida(4/13/2022)
RR
Georgia(3/13/2023)
RR
Illinois(4/13/2022)
RR
Indiana(5/5/2023)
RR
Kansas(11/11/2024)
RR
Kentucky(3/26/2024)
RR
Louisiana(9/15/2022)
RR
Michigan(10/28/2022)
RR
Minnesota(1/2/2024)
RR
Missouri(3/23/2022)
IAR
Missouri(3/23/2022)
RR
North Carolina(1/27/2025)
RR
North Dakota(8/14/2025)
RR
Ohio(2/9/2023)
RR
Pennsylvania(9/25/2023)
RR
Texas(4/13/2022)
IAR
Texas(4/13/2022)
RR
Wisconsin(2/12/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 3/22/2022
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.
Company Information
THRIVENT INVESTMENT MANAGEMENT INC.
CRD#: 18387St Louis, MO 63131TRUST BUT VERIFY
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