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RIA / WealthAdvisordual registered (broker-dealer)34 years in industry

Eugene P Sullivan

Advisor at THRIVENT ASSET MANAGEMENT, LLC

Minneapolis, MN

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Search this name across graphsid dfx:ria:bf8e4dc1-4e1c-8b4c-0f0e-8c2584c28572

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 7:59 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Jun 10, 2002 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: THRIVENT ASSET MANAGEMENT, LLC
Current firm class: asset managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 13, 1992earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Exams: S65|S63|S66
First exam: Feb 13, 1992
First registration: Jun 10, 2002
Dual registered: yes, broker-dealer
Other names: GENE SULLIVAN|EUGENE P SULLIVAN|EUGENE PATRICK SULLIVAN|EUGENE PATRICK SULLIVAN
IAPD individual key: 2206347

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
THRIVENT ASSET MANAGEMENT, LLC	Asset manager	Nov 25, 2024	n/a	yes	Minneapolis, MN	Current employment
NORTHCOAST ASSET MANAGEMENT LLC	Former SEC adviser	May 14, 2012	Apr 20, 2015	no	GREENWICH, CT	Previous registration
MANULIFE INVESTMENT MANAGEMENT (US) LLC	Asset manager	Jan 13, 2006	Apr 30, 2012	no	BOSTON, MA	Previous registration
JOHN HANCOCK INVESTMENT MANAGEMENT LLC	Asset manager	Jan 13, 2006	Dec 31, 2010	no	BOSTON, MA	Previous registration
BOFA ADVISORS, LLC	Former SEC adviser	Apr 28, 2005	Sep 21, 2005	no	NEW YORK, NY	Previous registration
COLUMBIA MANAGEMENT ADVISORS, INC.	n/a	Sep 1, 2004	Apr 28, 2005	no	BOSTON, MA	Previous registration
Stephens	Bd affiliated wealth	Jun 10, 2002	Jan 1, 2003	no	CHARLOTTE , NC	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
NORTHCOAST ASSET MANAGEMENT LLC	THRIVENT ASSET MANAGEMENT, LLC	Apr 20, 2015	Nov 25, 2024	3,507	Firm change after gap	Other
MANULIFE INVESTMENT MANAGEMENT (US) LLC	NORTHCOAST ASSET MANAGEMENT LLC	Apr 30, 2012	May 14, 2012	14	Firm change	Other
JOHN HANCOCK INVESTMENT MANAGEMENT LLC	MANULIFE INVESTMENT MANAGEMENT (US) LLC	Dec 31, 2010	Jan 13, 2006	-1,813	Bulk transfer	Other
BOFA ADVISORS, LLC	JOHN HANCOCK INVESTMENT MANAGEMENT LLC	Sep 21, 2005	Jan 13, 2006	114	Firm change	Other
COLUMBIA MANAGEMENT ADVISORS, INC.	BOFA ADVISORS, LLC	Apr 28, 2005	Apr 28, 2005	0	Firm change	Other
Stephens	COLUMBIA MANAGEMENT ADVISORS, INC.	Jan 1, 2003	Sep 1, 2004	609	Firm change after gap	Other

Relationships

Registered with (7)

→ THRIVENT ASSET MANAGEMENT, LLCRegistered adviserregistration: current employment
Nov 25, 2024 to presentfactForm ADV
→ NORTHCOAST ASSET MANAGEMENT LLCRegistered adviserregistration: previous registration
May 14, 2012 to Apr 20, 2015factForm ADV
→ MANULIFE INVESTMENT MANAGEMENT (US) LLCRegistered adviserregistration: previous registration
Jan 13, 2006 to Apr 30, 2012factForm ADV
→ JOHN HANCOCK INVESTMENT MANAGEMENT LLCRegistered adviserregistration: previous registration
Jan 13, 2006 to Dec 31, 2010factForm ADV
→ BOFA ADVISORS, LLCRegistered adviserregistration: previous registration
Apr 28, 2005 to Sep 21, 2005factForm ADV
→ COLUMBIA MANAGEMENT ADVISORS, INC.Registered adviserregistration: previous registration
Sep 1, 2004 to Apr 28, 2005factForm ADV
→ STEPHENSRegistered adviserregistration: previous registration
Jun 10, 2002 to Jan 1, 2003factForm ADV

Dated events

No dated event names this entity yet.