SF
Simon M. Fisher
THRIVENT INVESTMENT MANAGEMENT
Ormond Beach, FL 32174
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CRD#: 7752693
SF
Professional summary
Simon M Fisher, who also goes by Simon Michael Fisher, Simon Fisher, is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Ormond Beach, Florida.
Simon is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2023. Simon has worked at 2 firms and has passed the Series 63, Series 65, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Simon Michael Fisher | Simon Fisher
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.
ANYWHERE INC. DBA CRUISE BROTHERS POSITION: Associate Agent NATURE: I joined Cruise Brothers to book cruises and additional travel as an agent and receive a commission. To date, I have only booked cruises for myself however I could book them for someone else as an agent. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 12/01/2023 ADDRESS: 820 Bald Hill Road, Warwick RI 02886, United States DESCRIPTION: I have no responsibilities to the organization SOUTH DAYTONA LIONS CLUB POSITION: Director NATURE: Lions Club International is a service organization dedicated to serving their communities. Lions Club International serves communities in over 200 countries and geographical areas around the world. INVESTMENT RELATED: No NUMBER OF HOURS: 6 SECURITIES TRADING HOURS: 0 START DATE: 06/09/2024 ADDRESS: 968 Reed Canal Rd, South Daytona FL 32119, United States DESCRIPTION: Serve on the board of directors, attend meetings as needed, provide input on direction of club
CRS (Client Relationship Summary) - RIA
Click below to view Simon M Fisher's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Simon M Fisher'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 4, 2024 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 1366 N Us Highway 1, Ormond Beach, FL 32174RIA
BD
CRD#: 18387
Ormond Beach, FL
Current
February 29, 2024 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 1366 N Us Highway 1, Ormond Beach, FL 32174RIA
BD
CRD#: 18387
Ormond Beach, FL
Past
August 24, 2023 - October 2, 2023
KEYES, STANGE & WOOTEN WEALTH MANAGEMENT, LLC
RIA
CRD#: 139806
PALM COAST, 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
California(11/12/2024)
RR
Colorado(9/16/2024)
RR
Florida(3/1/2024)
IAR
Florida(3/4/2024)
RR
Minnesota(3/15/2024)
RR
New Jersey(7/14/2025)
RR
North Dakota(3/21/2024)
RR
Tennessee(9/12/2025)
RR
Texas(3/25/2024)
IAR
Texas(3/25/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 2/29/2024
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.
