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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Katie? Claim Your ProfileKatie Swenby is a Registered Representative and Investment Advisor Representative, associated with Thrivent Investment Management Inc. Katie has been in the securities industry since December 2021. Katie has a Series 63, Series 65, and Series 7TO registrations. Katie is registered in Minnesota and Wisconsin.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Personalized portfolio management to meet individual financial objectives.
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.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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WI
04/06/2022 - Present
Thrivent Investment Management Inc. (GLENWOOD CITY WI)
IA
Issued 03/08/2022
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/04/2022
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/01/2023
Series 7TO - General Securities Representative Examination
BC
Issued 12/09/2021
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 07/22/2021
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
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