Stephen D. Martinez
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.
Stephen Dale Martinez, who also goes by Steve Martinez, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1996. Stephen had worked at 7 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 24, 2022 - November 23, 2022
THRIVENT INVESTMENT MANAGEMENT INC.
July 14, 2022 - November 23, 2022
THRIVENT INVESTMENT MANAGEMENT INC.
April 30, 2021 - July 12, 2022
ALLSTATE FINANCIAL ADVISORS, LLC
April 30, 2021 - July 12, 2022
ALLSTATE FINANCIAL SERVICES, LLC
October 28, 2019 - April 12, 2021
PRUCO SECURITIES, LLC.
September 27, 2019 - April 12, 2021
PRUCO SECURITIES, LLC.
May 8, 2019 - August 29, 2019
COREBRIDGE CAPITAL SERVICES, INC.
January 13, 2014 - February 8, 2019
EQUITRUST INVESTMENT MANAGEMENT SERVICES, INC.
September 19, 2013 - May 1, 2019
FBL MARKETING SERVICES, LLC
November 22, 2011 - September 3, 2013
ALLSTATE FINANCIAL SERVICES, LLC
August 22, 2008 - July 14, 2011
EQUITRUST INVESTMENT MANAGEMENT SERVICES, INC.
February 22, 1996 - June 30, 2011
FBL MARKETING SERVICES, 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
Exams
Series 7TO
Date: 8/23/2022
General Securities Representative ExaminationCurrent 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.
