RO
Ronald C. Ostezan
THRIVENT INVESTMENT MANAGEMENT
Atlanta, GA 30339
Some features on this profile are disabled
CRD#: 1627184
RO
Professional summary
Ronald Charles Ostezan Jr, who also goes by Ron Ostezan Jr, Ronald Charles Ostezan Jr, Ronald Charles Ostezan, is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Atlanta, Georgia.
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 11 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7, Series 6, Series 51, Series 24 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ron Ostezan Jr | Ronald Charles Ostezan Jr | Ronald Charles Ostezan
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.
RONALD C. OSTEZAN, JR. POSITION: was writing agent NATURE: Receive renewal commissions from insurance policies written years ago. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 10/01/1986 ADDRESS: 384 Watson Ave, Woodstock GA 30189, United States DESCRIPTION: Receiving renewal commissions
CRS (Client Relationship Summary) - RIA
Click below to view Ronald Charles Ostezan Jr's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Ronald Charles Ostezan Jr'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
August 12, 2022 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 200 Galleria Pkwy Se, Atlanta, GA 30339RIA
BD
CRD#: 18387
Atlanta, GA
Current
July 25, 2022 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 200 Galleria Pkwy Se, Atlanta, GA 30339RIA
BD
CRD#: 18387
Atlanta, GA
Past
October 31, 2005 - September 5, 2006
OSAIC SERVICES, INC.
RIA
CRD#: 133763
TROY, MI
Past
October 31, 2005 - April 1, 2009
OSAIC SERVICES, INC.
BD
CRD#: 133763
TROY, MI
Past
October 25, 2001 - October 31, 2005
SUNAMERICA SECURITIES, INC.
RIA
CRD#: 20068
TROY, MI
Past
April 11, 2001 - October 31, 2005
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Past
April 6, 1999 - April 16, 2001
1717 CAPITAL MANAGEMENT COMPANY
BD
CRD#: 4082
NEWARK, DE
Past
June 8, 1998 - April 1, 1999
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
BD
CRD#: 611
OMAHA, NE
Past
June 19, 1997 - May 27, 1998
FSC SECURITIES CORPORATION
BD
CRD#: 7461
ATLANTA, GA
Past
October 6, 1993 - June 18, 1997
MARINER FINANCIAL SERVICES, INC.
BD
CRD#: 8292
LARGO, FL
Past
August 18, 1989 - February 2, 1990
EMPOWER FINANCIAL SERVICES, INC.
BD
CRD#: 13109
GREENWOOD VILLAGE, CO
Past
April 22, 1988 - October 7, 1989
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
EL SEGUNDO, CA
Past
August 15, 1987 - March 16, 1988
VP DISTRIBUTORS LLC
BD
CRD#: 3036
Past
February 6, 1987 - July 16, 1987
THE SAXON GROUP, INC.
BD
CRD#: 17611
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(4/30/2024)
RR
Arizona(2/27/2025)
RR
California(5/21/2024)
RR
Colorado(10/21/2025)
RR
Connecticut(2/27/2025)
RR
District of Columbia(2/27/2025)
IAR
District of Columbia(3/3/2025)
RR
Florida(2/3/2023)
RR
Georgia(8/9/2022)
IAR
Georgia(8/12/2022)
RR
Illinois(2/3/2023)
RR
Maryland(7/10/2024)
RR
Massachusetts(10/21/2025)
RR
Michigan(11/19/2024)
RR
Minnesota(5/21/2024)
RR
Nevada(2/13/2025)
RR
New Jersey(5/21/2024)
RR
New York(5/21/2024)
RR
North Carolina(5/21/2024)
RR
Ohio(5/16/2023)
RR
Oregon(8/7/2024)
RR
Pennsylvania(5/21/2024)
RR
South Carolina(8/21/2023)
RR
Tennessee(8/21/2023)
RR
Texas(12/3/2024)
IAR
Texas(12/3/2024)
RR
Virginia(9/19/2025)
RR
Washington(2/27/2025)
RR
Wisconsin(7/23/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 7/25/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
