NR
Noemi Rodriguez
THRIVENT INVESTMENT MANAGEMENT
Wethersfield, CT
Some features on this profile are disabled
CRD#: 3200891
NR
Professional summary
Noemi Rodriguez, who also goes by Noemi Cruz, Noemi Cucuta, is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Wethersfield, Connecticut.
Noemi is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Noemi has worked at 6 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Noemi Cruz | Noemi Cucuta
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.
PROSPANICA CT/BOARD OF DIRECTORS POSITION: Corporate Relations NATURE: Prospanica Connecticut is the local chapter of the national organization Prospanica. Prospanica is a non-profit organization that has a mission to empower and enable Hispanic professionals to achieve their full educational, economic and social potential. At a local level in Connecticut, we plan local events that promote networking, career development and community engagement for our members. INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 4 START DATE: 06/01/2023 ADDRESS: 11700 Preston Road, Dallas TX 75230, United States DESCRIPTION: It is my responsibility to stay connected to our local corporate sponsors throughout the year. Retention of current sponsors, as well as attracting new potential sponsors during our events. JACELYN E. HICKMAN SPECIAL NEEDS TRUST/ TRUSTEE POSITION: Trustee NATURE: I am the trustee for my nieces Special Needs trust. Section 3.1 details "The primary purpose of this trust is to provide for the supplemental care and supplemental welfare of Primary Beneficiary, who is under the age of 65 and disabled as is defined in Sec. 1614 (a)(3) of the Social Security Act 42, United States Code Sec. 1382 (c)(a)(3). INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 09/15/2022 ADDRESS: 26 Mayfield Road, Wethersfield CT 06109, United States DESCRIPTION: I primarily provide authorization to release funds from her trust account held at Bank of America when there is a specified need that is for the benefit of her welfare. I do not receive any compensation for my services. There is language in Sec 6.2 allowing for the trustee to reasonable compensation-- should we ever need another trustee named. But given my family connection, I do not need and will never be requesting compensation for my services.
CRS (Client Relationship Summary) - RIA
Click below to view Noemi Rodriguez's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Noemi Rodriguez'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
October 2, 2025 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
BD
CRD#: 18387
Wethersfield, CT
Current
October 2, 2025 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
BD
CRD#: 18387
Wethersfield, CT
Past
November 12, 2020 - September 17, 2025
VOYA RETIREMENT ADVISORS, LLC
RIA
CRD#: 3989
WINDSOR, CT
Past
November 10, 2020 - September 17, 2025
VOYA FINANCIAL PARTNERS, LLC
BD
CRD#: 34815
WINDSOR, CT
Past
June 6, 2012 - September 17, 2025
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
WINDSOR, CT
Past
January 3, 2011 - September 17, 2025
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
WINDSOR, CT
Past
May 14, 2009 - May 17, 2010
DIRECTED SERVICES LLC
BD
CRD#: 21675
WEST CHESTER, PA
Past
October 2, 2007 - January 3, 2011
VOYA FINANCIAL PARTNERS, LLC
BD
CRD#: 34815
WINDSOR, CT
Past
April 30, 2002 - October 4, 2005
ADVEST, INC.
BD
CRD#: 10
HARTFORD, CT
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
Connecticut(10/2/2025)
IAR
Connecticut(10/2/2025)
Exams
State Security Law 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.
