MK
Marc D. Kerscher
THRIVENT INVESTMENT MANAGEMENT
Monticello, IA 52310
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CRD#: 2179368
MK
Professional summary
Marc Douglas Kerscher is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Monticello, Iowa.
Marc is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Marc has worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
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.
CENTRAL CITY COMMUNITY SCHOOL POSITION: Assistant Coach NATURE: Coach high school football INVESTMENT RELATED: No NUMBER OF HOURS: 45 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2016 ADDRESS: 400 Barber St, Central City IA 52214 DESCRIPTION: coach high school football CENTRAL CITY HOUSING CORPORATION POSITION: Member on board of Directors NATURE: A Board of Directors that meets 4 times a year.They control the expenses and approve upkeep of a Senior Living complex. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 06/15/2023 ADDRESS: 529 North Marion Rd. South, Central City IA 52214, United States DESCRIPTION: To approve or disapprove the spending of money for the upkeep of the senior complexThey meet from 11:00 am to noon once a qtr.
CRS (Client Relationship Summary) - RIA
Click below to view Marc Douglas Kerscher's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Marc Douglas Kerscher'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®
NoneExperience
Current
October 10, 2008 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 820 W 1st St, Monticello, IA 52310RIA
BD
CRD#: 18387
Monticello, IA
Current
October 10, 2008 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 820 W 1st St, Monticello, IA 52310RIA
BD
CRD#: 18387
Monticello, IA
Past
September 29, 2004 - March 27, 2008
VALIC FINANCIAL ADVISORS, INC.
RIA
CRD#: 42803
OVERLAND PARK, KS
Past
September 29, 2004 - March 27, 2008
VALIC FINANCIAL ADVISORS, INC.
BD
CRD#: 42803
OVERLAND PARK, KS
Past
August 6, 2001 - January 16, 2004
WELLS FARGO INVESTMENTS, LLC
RIA
CRD#: 10582
MARION, IA
Past
January 5, 2001 - January 16, 2004
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
SAN FRANCISCO, CA
Past
November 20, 2000 - August 12, 2002
WELLS FARGO BROKERAGE SERVICES, L.L.C.
BD
CRD#: 16100
MINNEAPOLIS, MN
Past
December 10, 1999 - November 2, 2000
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
December 10, 1999 - November 2, 2000
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
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.
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
Iowa(10/10/2008)
IAR
Iowa(10/10/2008)
Exams
State Security Law Exam
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.
