DH
Dan G. Hesse
Some features on this profile are disabled
CRD#: 2155169
DH
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.
Dan Gene Hesse was a registered financial professional .
Dan is a previously registered financial professional and started their career in finance in 1991. Dan had worked at 1 firm and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
TIMBER RIDGE LLC; PO BOX 1126 SEARCY, AR 72145; BEGINNING DATE OF OWNERSHIP 03/2004; VICE PRESIDENT; NO DUTIES; IT IS A WOODED PIECE OF PROPERTY USED FOR HUNTING FOR THE LLC MEMBERS ONLY AND THE FUTURE INCOME OF THE SALE OF TREES; NO CURRENT INCOME; 90% OF THE OWNERSHIP IS THE 2 THRIVENT FINANCIAL FA'S DAN HESSE 60%, BARRY HESSE 30% AND THE OTHER 10% OWNER IS JAMES HESSE MY BROTHER; NO EMPLOYEES; NO SALARIES; NO PAYROLL; INVESTMENT RELATED; NO MORE THAN 2 HRS PER MO; NONE DURING TRADING HRS; MP APPROVES. MAY, 2008, LEASED MINERAL RIGHTS TO WESTERN LAND COMPANY, ONE TIME PAYMENT FOR 5 YEAR LEASE ON 50 ACRES IN CLEBURNE COUNTY, AR. JOINTLY OWNED BY DAN HESSE AND BARRY HESSE. PURCHASED 176 ACRES OF FARM LAND IN A 3 WAY PARTNERSHIP. DAN HESSE, BARRY HESSE AND DANIEL HUNDLEY, EQUAL % OWNERSHIP. LAND IS LOCATED IN CRAIGHEAD CO ARKANSAS ON LAWSON RD. IIN JONESBORO, AR IT IS UNDEVELOPED FARM GROUND CURRENTLY PLANTED IN WHEAT. PLAN TO CHANGE IT TO A SUBDIVISION IN THE FUTURE. NO INCOME AT THIS TIME, I AM NOT INVOLVED IN THE FARMING, IT IS LEASED TO A FARMER. I SPEND NO TIME IN ACTIVE MANAGEMENT. TRINITY HOPE POSITION: Board Member NATURE: Feeding Program for kids in Christian schools in Haita INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2015 ADDRESS: 2366 Cairo Bend Rd, Lebanon TN 37087 DESCRIPTION: Phone meetings as needed, one Board meeting per year. Mission trips to Haiti. DEER VALLEY ESTATES LLC POSITION: Vice President NATURE: Real estate Subdivision development. 3 equal owners: Dan Hesse, Barry Hesse and Daniel Hundley. We purchased 168 acres of farm land in Dec of 2015and now are starting to develop 30 acres into 29 residential building lots for sale. This LLC is not yet active and should have lots available for sale in Nov 2017 The location is on Lawson Rd. Jonesboro AR. I will not be actively involved in the marketing or sales of lots. This is strictly an investment. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 11/01/2017 ADDRESS: 2217 Woodsprings Road Suite C, Jonesboro AR 72404, United States DESCRIPTION: Investor HESSE LODGE LLC POSITION: Vice Pres NATURE: Hunting Cabin INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 08/28/2009 ADDRESS: 971 Ben Road, Drasco AR 72530, United States DESCRIPTION: Clean, Paint and Maint. IMMANUEL LUTHERAN CHURCH POSITION: Board Member NATURE: Church INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2014 ADDRESS: 6325 Ral-LaGrange, Memphis TN 38134, United States DESCRIPTION: 4 meetings per year and report to the congregation once a year the condition of the church
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®
NoneExperience
Past
January 7, 2004 - February 29, 2024
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
CRD#: 18387
CORDOVA, TN
Past
July 8, 1991 - February 29, 2024
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
CORDOVA, TN
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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
