SM
Susanne S. Miller
THRIVENT INVESTMENT MANAGEMENT
Wilmington, NC
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CRD#: 1209357
SM
Professional summary
Susanne Smith Miller, who also goes by Susanne Smith Miller, Susanne Elaine Smith, is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Wilmington, North Carolina.
Susanne is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Susanne has worked at 5 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Susanne Smith Miller | Susanne Elaine Smith
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
PINE VALLEY METHODIST CHURCH POSITION: Stewardship Board Member NATURE: Religious organization/Church INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2022 ADDRESS: 3788 Shipyard Blvd, Wilmington NC 28403, United States DESCRIPTION: This volunteer commitment meets bi-monthly to discuss giving, tithing and serving in the church. The goal of the committee is to develop strategies to encourage giving back to the church via our gifts, service and witness. PINE VALLEY METHODIST WEECARE/PRESCHOOL BOARD MEMBER POSITION: Preschool Board Member NATURE: Pine Valley WeeCare is a private half-day Christian preschool and Kindergarten. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2019 ADDRESS: 3788 Shipyard Blvd, Wilmington NC 28403, United States DESCRIPTION: I serve on the board and am responsible for setting teacher salaries, setting tuition rates and approving educational spending. This is a volunteer position and I do not have access to funds or receive compensation for my duties.
CRS (Client Relationship Summary) - RIA
Click below to view Susanne Smith Miller's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Susanne Smith Miller's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
December 19, 2023 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
BD
CRD#: 18387
Wilmington, NC
Current
December 19, 2023 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 600 Portland Ave S Msc 7100, Minneapolis, MN 55415RIA
BD
CRD#: 18387
Minneapolis, MN
Past
June 14, 2018 - December 8, 2023
EDWARD JONES
RIA
CRD#: 250
WILMINGTON, NC
Past
June 14, 2018 - December 8, 2023
EDWARD JONES
BD
CRD#: 250
WILMINGTON, NC
Past
January 2, 2018 - February 2, 2018
BB&T SECURITIES, LLC
RIA
CRD#: 142785
WILMINGTON, NC
Past
January 2, 2018 - February 2, 2018
BB&T SECURITIES, LLC
BD
CRD#: 142785
WILMINGTON, NC
Past
March 27, 2006 - January 2, 2018
BB&T INVESTMENT SERVICES, INC.
BD
CRD#: 33856
WILMINGTON, NC
Past
February 7, 2006 - January 2, 2018
BB&T INVESTMENT SERVICES, INC.
RIA
CRD#: 33856
WILMINGTON, NC
Past
September 1, 2005 - February 9, 2006
BB&T ASSET MANAGEMENT, INC.
RIA
CRD#: 108443
WILMINGTON, NC
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
TI
THRIVENT INVESTMENT MANAGEMENT INC.
AAL CAPITAL MANAGEMENT CORPORATION | THRIVENT INVESTMENT MANAGEMENT INC. | FORTRESS DISTRIBUTORS, INC. | AAL DISTRIBUTORS INC.
CRD#: 18387 / SEC#: 801-29618, 8-36525
RIA
Registered Investment Advisory firm - SEC (5/18/1987 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(2/2/2024)
RR
Alaska(2/2/2024)
RR
Arizona(2/2/2024)
RR
Arkansas(2/2/2024)
RR
California(2/2/2024)
RR
Colorado(2/2/2024)
RR
Connecticut(2/2/2024)
RR
Delaware(2/2/2024)
RR
District of Columbia(2/2/2024)
IAR
District of Columbia(2/6/2024)
RR
Florida(2/2/2024)
RR
Georgia(2/2/2024)
RR
Hawaii(2/2/2024)
RR
Idaho(2/2/2024)
RR
Illinois(2/2/2024)
RR
Indiana(2/2/2024)
RR
Iowa(2/2/2024)
RR
Kansas(2/2/2024)
RR
Kentucky(2/2/2024)
RR
Louisiana(2/2/2024)
RR
Maine(2/2/2024)
RR
Maryland(2/2/2024)
RR
Massachusetts(2/2/2024)
RR
Michigan(2/2/2024)
RR
Minnesota(2/2/2024)
RR
Mississippi(2/2/2024)
RR
Missouri(2/2/2024)
RR
Montana(2/2/2024)
RR
Nebraska(2/2/2024)
RR
Nevada(2/2/2024)
RR
New Hampshire(2/2/2024)
RR
New Jersey(2/2/2024)
RR
New Mexico(2/2/2024)
RR
New York(2/15/2024)
RR
North Carolina(12/19/2023)
IAR
North Carolina(12/19/2023)
RR
North Dakota(2/2/2024)
RR
Ohio(2/2/2024)
RR
Oklahoma(2/2/2024)
IAR
Oklahoma(2/5/2024)
RR
Oregon(2/2/2024)
RR
Pennsylvania(2/2/2024)
RR
Rhode Island(2/2/2024)
RR
South Carolina(2/2/2024)
RR
South Dakota(2/2/2024)
RR
Tennessee(2/2/2024)
RR
Texas(2/2/2024)
IAR
Texas(2/2/2024)
RR
Utah(2/2/2024)
RR
Vermont(2/2/2024)
RR
Virginia(2/2/2024)
RR
Washington(2/2/2024)
RR
West Virginia(2/2/2024)
RR
Wisconsin(2/2/2024)
RR
Wyoming(2/2/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TI
THRIVENT INVESTMENT MANAGEMENT INC.
AAL CAPITAL MANAGEMENT CORPORATION | THRIVENT INVESTMENT MANAGEMENT INC. | FORTRESS DISTRIBUTORS, INC. | AAL DISTRIBUTORS INC.
CRD#: 18387 / SEC#: 801-29618, 8-36525
RIA
Registered Investment Advisory firm - SEC (5/18/1987 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
600 Portland Avenue South, Minneapolis, MN 55415
Mailing Address
600 Portland Avenue South, Minneapolis, MN 55415
Phone number
+1 (800) 847-4836
Established
Delaware since 07/29/1986
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
3,846
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.
