DW
David L. Wegenke
THRIVENT INVESTMENT MANAGEMENT
Cypress, TX
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CRD#: 2541431
DW
Professional summary
David Lee Wegenke is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Cypress, Texas.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. David has worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 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.
LUTHERAN HOUR MINISTRIES POSITION: Regional Leader NATURE: Mass media proclamation of the Gospel through a variety of different media types, including social media, online, print, radio. All content is distributed through Lutheran Hour Ministries corporate office. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 02/18/2017 ADDRESS: 660 Mason Ridge Center Dr, Saint Louis MO 63141 DESCRIPTION: Be a connection to help the National Leadership team recruit other team members and raise funds. Develop a local regional team to help with the goals listed above. I am a local contact for the Lone Star Region and will help connect the senior leadership team to members of the regional team. The goal being to get the LHM senior leadership team in front of contacts to tell the story and at times make an appeal for funds.
CRS (Client Relationship Summary) - RIA
Click below to view David Lee Wegenke's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David Lee Wegenke'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
August 29, 2006 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #2: 1234 Bay Area Blvd, Houston, TX 77058RIA
BD
CRD#: 18387
Cypress, TX
Current
April 13, 2006 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 1234 Bay Area Blvd, Houston, TX 77058RIA
BD
CRD#: 18387
Houston, TX
Past
August 18, 2004 - January 31, 2006
WAMU INVESTMENTS, INC.
BD
CRD#: 599
IRVINE, CA
Past
January 10, 2003 - July 19, 2004
NYLIFE SECURITIES LLC
BD
CRD#: 5167
NEW YORK, NY
Past
September 26, 1994 - September 20, 2002
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
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
Alabama(4/20/2023)
RR
Arizona(7/6/2022)
RR
Colorado(4/20/2023)
RR
Delaware(4/20/2023)
RR
District of Columbia(2/29/2024)
IAR
District of Columbia(3/7/2024)
RR
Missouri(4/20/2023)
RR
Texas(2/2/2012)
IAR
Texas(2/9/2012)
RR
Virginia(4/20/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
