SK
SHARON D. KOESTER
THRIVENT INVESTMENT MANAGEMENT
Woodway, TX 76712
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CRD#: 1731365
SK
Professional summary
SHARON DALE KOESTER, CFP® is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Woodway, Texas.
SHARON is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. SHARON has worked at 1 firm and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
What are your service offerings?
Comprehensive Financial Planni...
Insurance Planning
Retirement Planning
Investment Planning
Estate Planning
Long-term Care
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.
CHURCH ORGANIST POSITION: Organist NATURE: I am SELF EMPLOYED church organist (House of worship)- Christian. I am not captive to a single church congregation. I have a home office containing my equipment, instruments, music and accessories necessary to conduct the music required for the order of worship. However, i must use the organ at the church during worship. INVESTMENT RELATED: No NUMBER OF HOURS: 25 SECURITIES TRADING HOURS: 2 START DATE: 01/01/1979 ADDRESS: P O Box 70, Riesel TX 76682, United States DESCRIPTION: Performing on musicals instruments, include but not limited to the organ, trumpet, French horn, harp, vocals, etc.I am given the order of worship music includes accompanying hymn singing, liturgy, preludes, offertories and postludes during the service. Service times are on a regular basis of Sunday mornings and church recognized special services, such as during Advent, Lent, Holy Week, reformation, preschool program, weddings and funerals. WACO CHILD CARE INC POSITION: Treasurer NATURE: Childcare (preschool and after school) center for low-income families.501(c)3 INVESTMENT RELATED: No NUMBER OF HOURS: 6 SECURITIES TRADING HOURS: 2 START DATE: 09/01/1996 ADDRESS: 1301 Ross Ave., Waco TX 76706, United States DESCRIPTION: AS a CFP - I'm to contribute as to the business futures - session, planning, help with budgeting, work with CPA in reviewing financials, work with the finance committee on bringing recommendations to full board concerning government programs available to finance day to day operations. I am able to sign checks, BUT checks require two officers' signatures, and must be approved with no less than executive board approval and generally full board approval. Been in this position since 1996.Avoid any and all potential conflicts of interest. I abstain from all voting concerning the allocations of funding AND investments. FARMLAND POSITION: Sole Proprietorship NATURE: Raising livestock and crops on personal farm. INVESTMENT RELATED: No NUMBER OF HOURS: 50 SECURITIES TRADING HOURS: 4 START DATE: 01/01/1990 ADDRESS: P O Box 70, Riesel TX 76682, United States DESCRIPTION: RAISE LIVESTOCK & CROPS ON PERSONAL FARM LAND OWNED IN RIESEL, TX. SPEND APPROXIMATELY 50 HOURS PER MONTH, 4 HOURS AT MOST DURING TRADING HOURS. SOLE PROPRIETORSHIP, STARTING FILING SCHEDULE F IN 1990. IS NOT INVESTMENT RELATED.
CRS (Client Relationship Summary) - RIA
Click below to view SHARON DALE KOESTER's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view SHARON DALE KOESTER'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: 2013
Experience
Current
January 13, 2012 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 115 Burnett Ct, Woodway, TX 76712RIA
BD
CRD#: 18387
Woodway, TX
Current
May 9, 2011 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 115 Burnett Ct, Woodway, TX 76712RIA
BD
CRD#: 18387
Woodway, TX
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
Texas(1/13/2012)
IAR
Texas(1/13/2012)
Exams
State Security Law 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.
