Cynthia G. Steiner
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Cynthia Gail Steiner, who also goes by Cindy G^ Steiner ^, Cindy Steiner, Cynthia Gail Steiner, Cynthia G Steiner-hake ^, Cynthia Gail Steiner-hake, Cynthia Gail Steinerhake, was a registered financial professional .
Cynthia is a previously registered financial professional and started their career in finance in 1983. Cynthia had worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 27, 2018 - September 3, 2021
THRIVENT INVESTMENT MANAGEMENT INC.
November 26, 2018 - September 3, 2021
THRIVENT INVESTMENT MANAGEMENT INC.
February 9, 2012 - April 9, 2018
THRIVENT INVESTMENT MANAGEMENT INC.
September 2, 2010 - April 9, 2018
THRIVENT INVESTMENT MANAGEMENT INC.
July 26, 2006 - September 1, 2010
FBL MARKETING SERVICES, LLC
December 20, 2002 - July 10, 2006
THRIVENT INVESTMENT MANAGEMENT INC.
July 24, 1998 - April 15, 2002
PRUCO SECURITIES, LLC.
May 5, 1994 - December 5, 1997
PRUCO SECURITIES, LLC.
February 1, 1994 - July 13, 1998
MUTUAL SERVICE CORPORATION
May 12, 1983 - December 5, 1997
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
THRIVENT INVESTMENT MANAGEMENT INC.
CRD#: 18387 / SEC#: 801-29618, 8-36525
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
THRIVENT INVESTMENT MANAGEMENT INC.
CRD#: 18387 / SEC#: 801-29618, 8-36525
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THRIVENT FINANCIAL HOLDINGS, INC. | OWNER | |
| BIRR, THOMAS JOHN | VICE PRESIDENT | 4148092 |
| BOUSU, CALEB ANTHONY | DIRECTOR | 7877353 |
| CECERE, NICHOLAS M | DIRECTOR | 1513551 |
| GILCHRIST, TONIA NICOLE JAMES | CHIEF LEGAL OFFICER & SECRETARY | 4777233 |
| GOLIS, ANDREA CORIN | CHIEF COMPLIANCE OFFICER | 1401462 |
| JOHNSON, ARIKA VIKTORIA | DIRECTOR | 5580869 |
| JOHNSTON, PAUL ROBERTS | DIRECTOR | 2065882 |
| KLOSTER, DAVID JACOB | PRESIDENT | 2523240 |
| NORGARD, ANDREW DYLAN | TREASURER | 6868385 |
Regulatory assets under management
| Total Number of Accounts | 48,940 |
| AUM (Assets Under Management) | $ 17,499,525,490 |
Disclosures
| Regulatory Event | 8 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/21/2024 | ||
| 01/25/2024 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
