JB
Joan I. Bartz
THRIVENT INVESTMENT MANAGEMENT
Glenwood City, WI 54013
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CRD#: 2344898
JB
Professional summary
Joan Irene Bartz, ChFC®, who also goes by Joan I Bartz, is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Glenwood City, Wisconsin.
Joan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Joan has worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Joan I Bartz
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.
EVERWOOD FARMSTEAD FOUNDATION POSITION: Board Member NATURE: Charitable foundation to support artists and their art. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 04/08/2014 ADDRESS: E580 County Rod X, Glenwood City WI 54013 DESCRIPTION: Attend board meetings quarterly after business hours - usually over thephone with an annual face to face board meeting. We approve the artist events and workshops prior to each season. COMMUNITY FOUNDATION OF GLENWOOD CITY POSITION: Vice President NATURE: Our community started the Community Foundation of Glenwood City to raise funds for new playground equipment for our local park. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 1 START DATE: 05/16/2025 ADDRESS: 624 Syme Ave, Glenwood City WI 54013, United States DESCRIPTION: Run meetings in the absence of our President. GLEN HILLS LIONS CLUB POSITION: Secretary NATURE: The Lions Club supports the community with service projects, especially around diabetes awareness and support and working to find a cure for blindness and help those who are blind. INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 1 START DATE: 07/01/2025 ADDRESS: PO Box 114, Glenwood City WI 54013, United States DESCRIPTION: Serve as club Secretary. Prepare minutes, prepare correspondence and help keep the club records in order.
CRS (Client Relationship Summary) - RIA
Click below to view Joan Irene Bartz's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Joan Irene Bartz'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®
Experience
Current
July 1, 2002 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 103 E Oak St, Glenwood City, WI 54013RIA
BD
CRD#: 18387
Glenwood City, WI
Current
July 1, 2002 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 103 E Oak St, Glenwood City, WI 54013RIA
BD
CRD#: 18387
Glenwood City, WI
Past
May 12, 1993 - 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.
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
Florida(8/15/2017)
RR
Iowa(5/29/2025)
RR
Minnesota(7/1/2002)
RR
Pennsylvania(11/7/2003)
RR
Texas(7/18/2022)
IAR
Texas(7/21/2022)
RR
Wisconsin(7/1/2002)
IAR
Wisconsin(7/1/2002)
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.
