AM
Alan J. Metz
THRIVENT INVESTMENT MANAGEMENT
Ames, IA
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CRD#: 3181394
AM
Professional summary
Alan Joseph Metz, ChFC® is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Ames, Iowa.
Alan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Alan has worked at 1 firm and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 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.
PERRY LUTHERAN HOME BOARD OF DIRECTORS POSITION: Board Member NATURE: The Lutheran Home is a non-profit Recognized Service Organization of the LCMS, though PLH serves folks of all religious beliefs. It has served the needs of people since 1956 and has a rich history of Christian care, and in particular dementia care. We have two campuses, our main historic campus and our Spring Valley Assisted Living campus attached to Dallas County Hospital. We employ about 125 people and have many volunteers and church partners (especially Lutheran church partners). For the past two years PLH has been awarded the top prize in the state for Excellence in Care through Innovation. A board member is expected to make good effort to become knowledgeable about PLH and its mission and ministry, oversee the CEO, set policy and support the work of management and staff as it seeks to serve people and families in need. Board members are also encouraged to be ambassadors of PLH and as the Lord allows them to support our work. There is no set expectation on level of support, though we certainly hope that we would be worthy of being part of your charitable contribution plan. Current board members are area pastors, business people, and retired community residents. The board members we seek are ones who have a great love for the Savior, have a broad network of contacts and who are anxious to see people served well with the best health care in an extended care setting. INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 09/24/2015 ADDRESS: 2323 E Willis Ave, Perry IA 50220 DESCRIPTION: There are 6 board meetings per year and often one of the winter board meetings are suspended. The meetingsare heldon the 4th Thursday of Jan, Mar, May, July, Sept, Nov. They commence at 4 pm and conclude with supper no later than 6 pm. We have a great board and joyful meetings. ALAN METZ POSITION: Hobby Farmer NATURE: Hobby farm: Selling beef cattle in % to friends and family than have processed in a state inspected locker. Buy two beef steers late summer and feed them out until April--May to be processed and then packaged meat is sold % of the animal to customers who are friends and family. INVESTMENT RELATED: No NUMBER OF HOURS: 12 SECURITIES TRADING HOURS: 0 START DATE: 08/29/2022 ADDRESS: 17641 Templeton Rd, Ames IA 50010, United States DESCRIPTION: Feeding and raising of animals and transporting to locker and dividing the cuts out. GILBERT LUTHERAN CHURCH FOUNDATION POSITION: Board Member, Vice Chair NATURE: GLC foundation has established guidelines for gift giving and establishing memorandum of agreements, which are to ensure that any gift to the Foundation is properly accounted for and managed to meet the needs of donors and the church mission equally. INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 1 START DATE: 12/01/2018 ADDRESS: 135 School st, Gilbert IA 50105, United States DESCRIPTION: As board member, oversee the requests for disbursements. Goals for board are to 1) plant seeds to inform and communicate with members of Gilbert Lutheran Chruch, 2) Grow funds by increase awareness for gifts into foundation endowment fund, 3) harvest on how to spend $ in earnings accounts that the matches the mission of the foundation and GLC SUNNY HEIGHTS LLC POSITION: Business Owner NATURE: The B&B&B will be a multiple purpose meeting venue and lodging for small weddings, family reunions and gatherings and small business meetings and retreats. INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 5 START DATE: 04/19/2024 ADDRESS: 17641 Templeton Rd, Ames IA 50010, United States DESCRIPTION: My roles will be general upkeep of property and business venues. I will help with general setup and takedown of scheduled events.
CRS (Client Relationship Summary) - RIA
Click below to view Alan Joseph Metz's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Alan Joseph Metz'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
April 23, 2003 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
BD
CRD#: 18387
Ames, IA
Current
March 11, 1999 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
BD
CRD#: 18387
Ames, IA
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
Arkansas(1/23/2019)
RR
Iowa(3/17/1999)
IAR
Iowa(4/23/2003)
RR
Maryland(8/13/2025)
RR
Minnesota(1/23/2019)
RR
Texas(11/15/2016)
IAR
Texas(11/15/2016)
RR
Virginia(10/6/2021)
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
