RL
Ronald P. Lutes
THRIVENT INVESTMENT MANAGEMENT
Maplewood, MN
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CRD#: 1581540
RL
Professional summary
Ronald Paul Lutes, CFP® is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Maplewood, Minnesota.
Ronald is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Ronald has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
YMCA POSITION: Fitness Instructor NATURE: Community Fitness and Wellness INVESTMENT RELATED: No NUMBER OF HOURS: 6 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2023 ADDRESS: 2175 Radio Drive, Woodbury MN 55125, United States DESCRIPTION: Teaching Spinning Classes to members about 4 times a month
CRS (Client Relationship Summary) - RIA
Click below to view Ronald Paul Lutes's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Ronald Paul Lutes'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®
Experience
Current
December 19, 2013 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #2: 600 Portland Ave S, Minneapolis, MN 55415RIA
BD
CRD#: 18387
Maplewood, MN
Current
June 10, 2005 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 600 Portland Ave S, Minneapolis, MN 55415RIA
BD
CRD#: 18387
Minneapolis, MN
Past
December 13, 2006 - December 14, 2007
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
CRD#: 18387
MINNEAPOLIS, MN
Past
January 24, 2001 - May 26, 2005
MM ASCEND LIFE INVESTOR SERVICES, LLC
BD
CRD#: 36451
CINCINNATI, OH
Past
April 27, 1993 - January 26, 2001
OSAIC FS, INC.
BD
CRD#: 3870
FORT WAYNE, IN
Past
December 14, 1989 - January 1, 1993
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
Past
June 9, 1987 - December 19, 1989
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
MINNEAPOLIS, MN
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
Illinois(12/13/2006)
RR
Iowa(12/13/2006)
RR
Michigan(12/13/2006)
RR
Minnesota(6/10/2005)
IAR
Minnesota(12/19/2013)
RR
Missouri(12/13/2006)
RR
Wisconsin(12/13/2006)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
