Matthew Anderson
Matt Anderson manages the Suitability & Surveillance team at Thrivent Investment Management, Inc. (TIMI) based in Minneapolis, Minnesota. Matt and his team perform initial and ongoing reviews of brokerage and advisory accounts, provide B/D and IA regulatory support, and supervise the Financial Planning and Social Media programs. They also collaborate and consult with representatives and internal business partners on training, identifying emerging trends, implementing new regulations and products, and efficiency and technology initiatives.
Prior to Thrivent, Matt started his career at Piper Jaffray in Minneapolis, where he managed the Margin, Custody, and New Accounts departments. He was also a key contributor for various firm wide projects and initiatives, such as account conversions and revamping the client onboarding and account opening processes.
Mr. Anderson holds a B.S. in Finance and Mathematics and a Master's of Business Administration, along with the following securities registrations: S4, S7, S24, S53, and S66.
10d. IA LAB – Retail Investment Advisers and the Duty to Monitor Client Accounts (Advanced)