Sherith L. Squires
THRIVENT INVESTMENT MANAGEMENT
Thousand Oaks, CA
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CRD#: 2120026
Professional summary
Sherith Lundring Squires, CFP®, who also goes by Sherith Lundring, Sherith L Squires, is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Thousand Oaks, California.
Sherith is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Sherith has worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Sherith Lundring | Sherith L Squires
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.
CONEJO RIDGE REAL ESTATE LLC POSITION: Jt. Owner/member NATURE: We (my brother Erik Lundring, also a Thrivent rep and the other member of the LLC) and Ibought an office building through the above LLC. Weare leasing it to our Thrivent practice and some other tenants. A few other Thrivent reps are tenants, as well as other businesses who are not Thrivent clients. Each officehas separate locking doors. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2017 ADDRESS: 3255 Old Conejo Rd., Thousand Oaks CA 91320, United States DESCRIPTION: We hired a Commercial Real Estate broker to lease out the remaining office spaces and he is handling all of the ensuing agreement andnegotiations. We have occasional building upkeep issues, annual fire and elevator inspections, that need to be handled, but that only takes a couple of hours once a year. SPOKANE RENTAL PROPERTY POSITION: Jt. owner NATURE: This is an old house that has been turned into 7 small individual apartment units to be rented out. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 03/28/2022 ADDRESS: 1914 W. 2nd Ave, Spokane WA 99205, United States DESCRIPTION: I will have no material participation in the project other than co-owning it with my spouse who is in the real estate business. RENTAL PROPERTY - SPOKANE POSITION: joint owner NATURE: Rental property INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/15/2021 ADDRESS: 910 E. Illinois Ave., Spokane WA 99207, United States DESCRIPTION: no involvement. My spouse manages this completely as part of his real estate broker business.
CRS (Client Relationship Summary) - RIA
Click below to view Sherith Lundring Squires's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Sherith Lundring Squires'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: 1995
Experience
Current
August 5, 2002 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #2: 3255 Old Conejo Road Ste 201, Thousand Oaks, CA 91320RIA
BD
CRD#: 18387
Thousand Oaks, CA
Current
July 1, 2002 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 3255 Old Conejo Road Ste 201, Thousand Oaks, CA 91320RIA
BD
CRD#: 18387
Thousand Oaks, CA
Past
May 3, 2002 - August 5, 2002
LUTHERAN BROTHERHOOD SECURITIES CORP.
RIA
CRD#: 4205
CAMARILLO, CA
Past
March 30, 1992 - July 1, 2002
LUTHERAN BROTHERHOOD SECURITIES CORP.
BD
CRD#: 4205
MINNEAPOLIS, MN
Past
February 8, 1991 - February 26, 1992
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
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(8/9/2017)
RR
Arizona(9/24/2010)
RR
California(7/1/2002)
IAR
California(8/5/2002)
RR
Colorado(2/28/2012)
RR
Connecticut(5/24/2022)
RR
Florida(9/14/2016)
RR
Idaho(7/17/2019)
RR
Iowa(10/8/2009)
RR
Kansas(9/18/2015)
RR
Maryland(9/15/2023)
RR
Minnesota(1/31/2023)
RR
Montana(11/3/2021)
RR
Nebraska(7/5/2017)
RR
Nevada(4/3/2009)
RR
New Mexico(6/1/2006)
RR
New York(9/3/2015)
RR
North Carolina(3/5/2014)
RR
Oregon(11/21/2008)
RR
Tennessee(6/17/2020)
RR
Texas(10/15/2015)
IAR
Texas(10/16/2015)
RR
Utah(3/1/2013)
RR
Vermont(9/29/2017)
RR
Washington(7/1/2002)
RR
Wisconsin(7/17/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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.
