RW
Robert H. Walczuk
THRIVENT INVESTMENT MANAGEMENT
Thousand Oaks, CA 91320
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CRD#: 1614758
RW
Professional summary
Robert Harry Walczuk, CFP®, who also goes by Bob Walczuk, Robert H Walczuk, is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Thousand Oaks, California.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Robert has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bob Walczuk | Robert H Walczuk
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Robert Harry Walczuk's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Robert Harry Walczuk'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®
CFP®
Start date: 2014
Experience
Current
July 18, 2007 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 3255 Old Conejo Rd Ste 102, Thousand Oaks, CA 91320RIA
BD
CRD#: 18387
Thousand Oaks, CA
Current
June 28, 2007 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 3255 Old Conejo Rd Ste 102, Thousand Oaks, CA 91320RIA
BD
CRD#: 18387
Thousand Oaks, CA
Past
June 16, 2005 - June 21, 2007
R.W.PRESSPRICH & CO.
BD
CRD#: 26460
NEW YORK, NY
Past
March 10, 2004 - November 12, 2004
CANTOR FITZGERALD & CO.
BD
CRD#: 134
NEW YORK, NY
Past
November 15, 2001 - January 13, 2004
BNY MELLON SECURITIES LLC
BD
CRD#: 47268
JERSEY CITY, NJ
Past
March 19, 1999 - November 13, 2001
GRUNTAL & CO., L.L.C.
BD
CRD#: 372
NEW YORK, NY
Past
July 30, 1997 - October 20, 1998
CITICORP SECURITIES, INC.
BD
CRD#: 7474
NEW YORK, NY
Past
March 27, 1995 - December 13, 1996
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
February 26, 1987 - March 16, 1995
UBS SECURITIES LLC
BD
CRD#: 7654
NEW YORK, NY
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
Arizona(1/15/2013)
RR
California(6/28/2007)
IAR
California(7/18/2007)
RR
Connecticut(6/30/2009)
RR
Idaho(1/27/2023)
RR
Kansas(1/21/2010)
RR
Nevada(7/23/2024)
RR
New York(6/30/2009)
RR
Texas(5/23/2019)
IAR
Texas(5/28/2019)
Exams
State Security Law Exam
State Security Law 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
THRIVENT INVESTMENT MANAGEMENT INC.
CRD#: 18387Thousand Oaks, CA 91320TRUST BUT VERIFY
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