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Detailed Report
James Matthew Rowe
JAMES M ROWE, JAMES MATTHEW ROWE, JAMES ROWE, MATTHEW ROWE
CRD#: 5400020
IA
Investment Adviser
B
Broker
THRIVENT INVESTMENT MANAGEMENT INC.CRD#: 18387 3120 Highwoods Boulevard
Raleigh, NC 27604
Registration History
20082010201220142016201820202022202420262 FIRMS2023 - 2025 (1 year)2 FIRMS2025 - Present (<1 year)BSECU BROKERAGE SERVICES (CRD# 19899)2023 - 2023 (<1 year)BWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2022 - 2022 (<1 year)BWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2008 - 2021 (13 years)
License(s)

State Registrations

B
Florida 2/28/2025
IA
North Carolina 2/14/2025
B
Illinois 2/28/2025
B
South Carolina 2/28/2025
B
North Carolina 2/14/2025

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
THRIVENT INVESTMENT MANAGEMENT INC. (CRD#:18387)
3120 Highwoods Boulevard, Raleigh, NC 27604
Raleigh, NC
Registered with this firm since 2/14/2025
B
THRIVENT INVESTMENT MANAGEMENT INC. (CRD#:18387)
3120 Highwoods Boulevard, Raleigh, NC 27604
Raleigh, NC
Registered with this firm since 2/14/2025
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 10/20/2023 - 02/11/2025 EDWARD JONES (CRD#:250) WAKE FOREST, NC
B
 08/30/2023 - 02/11/2025 EDWARD JONES (CRD#:250) WAKE FOREST, NC
B
 07/19/2023 - 08/22/2023 SECU BROKERAGE SERVICES (CRD#:19899) KNIGHTDALE, NC
B
 07/15/2022 - 09/01/2022 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) APEX, NC
B
 05/08/2008 - 08/25/2021 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) FUQUAY VARINA, NC
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.