MH
Michael G. Herrick
THRIVENT INVESTMENT MANAGEMENT
Greenwood Village, CO 80112
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CRD#: 7766812
MH
Professional summary
Michael Gregory Herrick, who also goes by Michael Herrick, is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Greenwood Village, Colorado.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2023. Michael has worked at 1 firm and has passed the Series 66, Series 63, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Michael Herrick
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.
FELLOWSHIP OF CHRISTIAN ATHLETES- COLORADO SCHOOL OF MINES POSITION: Board Member NATURE: The Fellowship of Christian Athletes (FCA) at Colorado School of Mines is a student-led ministry that brings together athletes and non-athletes to grow in their Christian faith through fellowship, Bible study, and service. Their focus is on building community, integrating faith and athletics, and encouraging students to live out their values both on and off the field. INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2025 ADDRESS: 1600 Maple St., Golden CO 80401, United States DESCRIPTION: As a Board Member of FCA at Colorado School of Mines I will provide spiritual and organizational support to help the ministry thrive on campus. My responsibilities include mentoring student leaders, assisting with events, and serving as ambassadors of FCA's mission within the community. I will not provide financial support or be involved with investments or budgeting but will assist by providing and cooking meals for student-led meetings and volunteering at FCA events on campus and in the community.
CRS (Client Relationship Summary) - RIA
Click below to view Michael Gregory Herrick's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael Gregory Herrick'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
February 4, 2025 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 9250 E Costilla Ave, Greenwood Village, CO 80112RIA
BD
CRD#: 18387
Greenwood Village, CO
Current
November 13, 2023 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 9250 E Costilla Ave, Greenwood Village, CO 80112RIA
BD
CRD#: 18387
Greenwood Village, CO
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
Arizona(10/20/2025)
RR
California(2/22/2024)
RR
Colorado(2/5/2024)
IAR
Colorado(2/4/2025)
RR
Idaho(2/22/2024)
RR
Illinois(10/7/2024)
RR
Texas(2/22/2024)
IAR
Texas(2/4/2025)
RR
Utah(2/23/2024)
RR
Wyoming(2/22/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 11/13/2023
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.
