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Leon Duane Bauman

Thrivent Investment Management Inc.

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About Leon Duane Bauman

Leon Duane Bauman is an investment advisor representative at Thrivent Investment Management Inc. with over 20 years of experience in the industry. Leon is registered with FINRA and the state of Kansas as a Registered Representative and Investment Adviser Representative. Leon Duane Bauman is also registered with the state of Texas as an Investment Adviser Representative. Leon has passed the Series 6, 7, 63, and 65 exams. Prior to joining Thrivent Investment Management Inc. Leon was employed by Lutheran Brotherhood Securities Corp.

Firm Information

Leon Bauman 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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Leon Bauman’s Registration & Firm History

KS

09/12/2018 - Present

Thrivent Investment Management Inc. (OVERLAND PARK KS)

MN

02/10/1998 - 07/01/2002

LUTHERAN BROTHERHOOD SECURITIES CORP. (MINNEAPOLIS MN)

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Licenses & Designations

IA

Issued 03/25/2002

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 02/09/1998

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/19/2001

Series 7 - General Securities Representative Examination

BC

Issued 02/09/1998

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Leon Duane Bauman.
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