Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
Brett Michael Hartmann
CRD#: 7637873
IA
Investment Adviser
B
Broker
THRIVENT INVESTMENT MANAGEMENT INC.CRD#: 18387 12300 OLD TESSON RD
SAINT LOUIS, MO 63128
Registration History
2022AprJulOct2023AprJulOct2024AprJulOct2025AprJulOct20262 FIRMS2022 - Present (2 years)
License(s)

State Registrations

B
Illinois 12/19/2022
IA
Missouri 12/7/2022
B
Indiana 1/3/2024
B
Wisconsin 12/19/2022
B
Missouri 12/7/2022

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)
12300 OLD TESSON RD, SAINT LOUIS, MO 63128
Registered with this firm since 12/7/2022
B
THRIVENT INVESTMENT MANAGEMENT INC. (CRD#:18387)
12300 OLD TESSON RD, SAINT LOUIS, MO 63128
Registered with this firm since 11/18/2022
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.