SP
Samuel D. Pond
THRIVENT INVESTMENT MANAGEMENT
Burnsville, MN 55337
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CRD#: 7490578
SP
Professional summary
Samuel Dillon Pond is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Burnsville, Minnesota.
Samuel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Samuel 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.
SP CONSULTING POSITION: Facade Engineer NATURE: Engineering Consulting: Facades and Building Envelope INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 8 START DATE: 10/03/2022 ADDRESS: 2300 Lexington Heights, Saint Paul MN 55120, United States DESCRIPTION: Working as a sub-consultant, contracted as 1099 employee, under an established engineering firms. I have specialized skills and experience in the design and engineering of facades (stick built and unitized), glass and glazing, and the building envelope. I perform delegated design review of shop drawings and calculations for compliance with building code, best practices, and constructability, and apply Minnesota Professional Engineering Stamp. CALIFORNIA SUPERBIKE SCHOOL POSITION: On-Track Riding Coach NATURE: Motorcycle Training School INVESTMENT RELATED: No NUMBER OF HOURS: 12 SECURITIES TRADING HOURS: 12 START DATE: 05/01/2020 ADDRESS: 940 N San Fernando Rd, Los Angeles CA 90065, United States DESCRIPTION: I work as an independent contractor providing on-track coaching and observation of riding technique.
CRS (Client Relationship Summary) - RIA
Click below to view Samuel Dillon Pond's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Samuel Dillon Pond'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
May 26, 2022 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 3000 County Rd 42 West, Burnsville, MN 55337RIA
BD
CRD#: 18387
Burnsville, MN
Current
May 5, 2022 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 3000 County Rd 42 West, Burnsville, MN 55337RIA
BD
CRD#: 18387
Burnsville, MN
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(5/26/2022)
RR
Florida(1/16/2024)
RR
Minnesota(5/27/2022)
IAR
Minnesota(5/27/2022)
RR
North Dakota(6/10/2022)
RR
Texas(8/13/2024)
IAR
Texas(8/14/2024)
RR
Virginia(7/13/2022)
RR
Wisconsin(6/10/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 5/5/2022
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
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Company Information
THRIVENT INVESTMENT MANAGEMENT INC.
CRD#: 18387Burnsville, MN 55337TRUST BUT VERIFY
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