KA
Karen C. Althaus
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CRD#: 2145074
KA
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.
Karen Carpenter Althaus, ChFC®, who also goes by Karen Carpenter Althaus, Karen Carpenter, was a registered financial professional .
Karen is a previously registered financial professional and started their career in finance in 1991. Karen had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Karen Carpenter Althaus | Karen Carpenter
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.
RENTAL HOME POSITION: Owner NATURE: Home rental to single family tenants INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2015 ADDRESS: 4925 Calico Ct, Alta Loma CA 91737, United States DESCRIPTION: Renting to single family tenants OLD HOUSE LLC POSITION: Co Owner NATURE: Leased office building space for IEFC, LLC business use. I also lease space to other tenants as well. 2 at this time. INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 04/29/2004 ADDRESS: 3333 Concours St, Bldg 8, Ontario CA 91764, United States DESCRIPTION: resolve building maintenance issues. pay expense bills. FIXED INSURANCE POSITION: Insurance Producer NATURE: Selling/servicing fixed insurance contract(s) INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 06/01/2020 ADDRESS: 3333 Concours, Suite 8100, Ontario CA 91764, United States DESCRIPTION: Selling/servicing fixed insurance contract(s) THRIVENT ADVISOR NETWORK, LLC DBA CONCOURS CAPITAL ADVISORS POSITION: Advisor, partner NATURE: Affiliated Retail Investment Advisory Firm. INVESTMENT RELATED: No NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 120 START DATE: 08/01/2022 ADDRESS: 3333 E. concours st ste8100, Ontario CA 91764, United States DESCRIPTION: Provide investment advisory services to retail clients THE EXECUTIVE SUITE AT HAVEN LLC POSITION: one of the owners of LLC NATURE: Commercial Property leased offices for passive income to owners. INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 08/01/2005 ADDRESS: 9431 Haven Ave, Rancho Cucamonga CA 91730, United States DESCRIPTION: I have an investment interest along with my husband and other partners in the Executive Suite at Haven LLC. I am not the management partner. This property is a business of executive offices and the LLC owns the actual commercial property. The LLC has hired a management company to manage the executive suites that are for lease. My spouse and I have ownership interest of 57.61%. It is passive income generating.I spend less than 5 hrs/mo. I attend association meetings. The association oversees the common area property management for this complex.I will never accept/have control of funds or money this association owns. My voting interest is the same as that of any of the property owners. IEFC, LLC POSITION: consultant NATURE: LLC is established for the expenses for TAN/TIMI business. INVESTMENT RELATED: No NUMBER OF HOURS: 64 SECURITIES TRADING HOURS: 64 START DATE: 01/01/2025 ADDRESS: 3333 E Concours St, Ste 8100, Ontario CA 91764, United States DESCRIPTION: Business operation duties. HR duties
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Past
June 6, 2024 - October 17, 2025
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
Ontario, CA
Past
July 16, 2020 - June 5, 2024
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
Ontario, CA
Past
May 19, 2020 - October 16, 2025
THRIVENT ADVISOR NETWORK, LLC
RIA
CRD#: 304569
Ontario, CA
Past
October 15, 2013 - July 16, 2020
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
CRD#: 18387
ONTARIO, CA
Past
July 1, 2002 - July 16, 2020
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
ONTARIO, CA
Past
June 21, 1991 - July 1, 2002
LUTHERAN BROTHERHOOD SECURITIES CORP.
BD
CRD#: 4205
MINNEAPOLIS, MN
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.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
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.
