Stephen L. Williams
Professional summary
Stephen Lowell Williams, CFP®, CIMA®, CPWA®, who also goes by Stephen L Williams, Stephen Lowell Williams, Stephen Williams, Steve Williams, is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Naperville, Illinois.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Stephen has worked at 9 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 31, Series 7, Series 10, Series 9, Series 53, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Lowell Williams's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Stephen Lowell Williams's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2015-04-15
Expire date: 2023-03-31
Experience
October 22, 2024 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #2: N96w17695 Riversbend Circle West, Germantown, WI 53022October 22, 2024 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: N96w17695 Riversbend Circle West, Germantown, WI 53022April 5, 2021 - September 29, 2023
THE HUNTINGTON INVESTMENT COMPANY
April 5, 2021 - September 29, 2023
THE HUNTINGTON INVESTMENT COMPANY
December 8, 2005 - March 24, 2021
BMO HARRIS FINANCIAL ADVISORS, INC.
December 8, 2005 - March 24, 2021
BMO HARRIS FINANCIAL ADVISORS, INC.
May 1, 2002 - December 31, 2005
HARRISDIRECT LLC
January 22, 2002 - December 31, 2005
HARRISDIRECT LLC
February 21, 2001 - May 24, 2002
AMERITAS INVESTMENT COMPANY, LLC
December 9, 2000 - May 1, 2002
HARRIS INVESTORLINE INC.
April 15, 2000 - December 9, 2000
HARRIS INVESTORLINE
May 7, 1998 - April 15, 2000
HARRIS INVESTORS DIRECT, INC.
March 20, 1996 - February 3, 1998
PRUDENTIAL EQUITY GROUP, LLC
Primary Firm SEC Registration
THRIVENT INVESTMENT MANAGEMENT INC.
CRD#: 18387 / SEC#: 801-29618, 8-36525
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/22/2024)
(10/22/2024)
(3/11/2025)
(3/11/2025)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
Current Firm
THRIVENT INVESTMENT MANAGEMENT INC.
CRD#: 18387 / SEC#: 801-29618, 8-36525
Contact information
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.
