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Lori Ann Henry

Other Names: Lori Ann Baumgardner, Lori Ann Lewis
Firm:
Thrivent Investment Management Inc.
Type: Registered Representative
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Description

Lori Henry a financial professional at Thrivent Investment Management Inc., a broker-dealer with over 3,250 registered representatives nationwide. Lori has held an industry securities registration for 11 years and is subject to FINRA oversight.

BrightScope Advisor Metrics

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Answers and Guides

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0 Answers and 0 Financial Guides

Top Answers

Lori Ann Henry has not answered any questions on Financial Q&A.

Top Guides

Lori Ann Henry has not contributed any Financial Guides on Financial Q&A.
*Answers and guides are provided without compensation.

Firm Client Types

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ownership pie chart
Individuals
High Net Worth Individuals
Corporations or Other Businesses

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

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Employer Years Dates
Thrivent Investment Management Inc. 10 years, 10 months Jul 2002 - Present
Thrivent Financial for Lutherans 10 years, 10 months Jul 2002 - Present
Lutheran Brotherhood Securities Corp 1 year, 5 months Jan 2001 - Jun 2002
Lutheran Brotherhood 1 year, 5 months Jan 2001 - Jun 2002
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of , and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

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Regulator
FINRA
License Status
Registered
Disclosures

No Disclosures Found
As of Date
11/10/2011
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

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Exam Series Passed Date
Investment Company Products/Variable Contracts Representative Examination Series 6 04/20/2001
Uniform Securities Agent State Law Examination Series 63 02/22/2001

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Fixed Fees