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Alan Ives Caulkins

Thrivent Investment Management Inc.

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About Alan Ives Caulkins

Alan Caulkins is an investment advisor representative with Thrivent Investment Management Inc. Alan has been in the financial services industry since 1998. Alan is registered with the state of Pennsylvania as an Investment Advisor Representative. Alan is also registered with the state of Pennsylvania as a Registered Representative. Alan has a Series 6, 7, 63 and 65 license. Alan is affiliated with Thrivent Investment Management Inc.

Firm Information

Alan Caulkins is currently registered with Thrivent Investment Management Inc.. Thrivent Investment Management Inc., founded in 1986, is a corporation headquartered in Minneapolis, Minnesota. The firm provides financial planning and portfolio management services for individuals, corporations, and other entities, including churches and non-profit organizations. Thrivent is registered with the SEC and in all 50 states.
Thrivent Investment Management Inc.

600 PORTLAND AVENUE SOUTH

MINNEAPOLIS, MN 55415

$14.81B

Assets Under Management

56,805

Total Clients

3,242

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Alan Caulkins’s Registration & Firm History

PA

08/02/2006 - Present

Thrivent Investment Management Inc. (ALLISON PARK PA)

ME

10/04/2001 - 06/25/2002

QUASAR DISTRIBUTORS, LLC (PORTLAND ME)

AZ

01/26/1999 - 10/04/2001

FIRST FUND DISTRIBUTORS, INC. (PHOENIX AZ)

NJ

04/23/1998 - 05/22/1998

NYLIFE DISTRIBUTORS INC. (JERSEY CITY NJ)

NY

06/30/1993 - 11/11/1994

VAN ECK SECURITIES CORPORATION (NEW YORK NY)

AZ

11/21/1991 - 02/10/1993

LEXINGTON FUNDS DISTRIBUTOR, INC. (SCOTTSDALE AZ)

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Licenses & Designations

IA

Issued 07/31/2006

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 08/12/1999

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/09/2004

Series 7 - General Securities Representative Examination

BC

Issued 11/20/1991

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Alan Ives Caulkins. Review regulatory record here.
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