Peter W. Seroka
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Peter William Seroka, who also goes by Peter Seroka, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1989. Peter had worked at 12 firms and has passed the Series 63, SIE, Series 7, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 6, 2018 - December 18, 2020
THRIVENT INVESTMENT MANAGEMENT INC.
April 12, 2018 - June 12, 2018
COUNTRY CAPITAL MANAGEMENT COMPANY
March 11, 2014 - October 20, 2016
GLOBAL ATLANTIC DISTRIBUTORS, LLC
November 4, 2013 - April 10, 2014
EPOCH SECURITIES, INC.
February 14, 2000 - May 3, 2012
VALIC FINANCIAL ADVISORS, INC.
April 7, 1993 - December 3, 1998
GRIFFIN FINANCIAL SERVICES
January 23, 1993 - April 23, 1993
BUCKHEAD FINANCIAL CORPORATION
November 17, 1992 - January 9, 1993
MURCHISON INVESTMENT BANKERS, INC.
August 7, 1991 - November 18, 1992
OSAIC FS, INC.
September 7, 1990 - July 30, 1991
SECURITIES SERVICE NETWORK, LLC
November 2, 1989 - September 11, 1990
ANCHOR MANAGEMENT GROUP, INC.
January 24, 1989 - October 21, 1989
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
THRIVENT INVESTMENT MANAGEMENT INC.
CRD#: 18387 / SEC#: 801-29618, 8-36525
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
THRIVENT INVESTMENT MANAGEMENT INC.
CRD#: 18387 / SEC#: 801-29618, 8-36525
Contact information
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.
