JS
Jay A. Schwab
THRIVENT INVESTMENT MANAGEMENT
Waukesha, WI 53186
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CRD#: 4246828
JS
Professional summary
Jay Allen Schwab is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Waukesha, Wisconsin.
Jay is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Jay has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 26 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.
HALES CORNERS LUTHERAN CHURCH FOUNDATION POSITION: Board Members NATURE: As a board member, I attend quarterly meetings to plan different events for the church. Examples include:40 days of purpose book study remodeling the church nursery Helping fund the school auction, which allowed for the purchase of new IPADS for students INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 03/02/2020 ADDRESS: 12300 W Janesville Rd, Hales Corners WI 53130, United States DESCRIPTION: Attend quarterly meeting to provide guidance and direction of the foundation.
CRS (Client Relationship Summary) - RIA
Click below to view Jay Allen Schwab's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jay Allen Schwab'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
April 10, 2018 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 20935 Swenson Dr, Waukesha, WI 53186RIA
BD
CRD#: 18387
Waukesha, WI
Current
April 10, 2018 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 20935 Swenson Dr, Waukesha, WI 53186RIA
BD
CRD#: 18387
Waukesha, WI
Past
November 10, 2017 - April 9, 2018
ANNEX WEALTH MANAGEMENT, LLC
RIA
CRD#: 127987
ELM GROVE, WI
Past
July 10, 2017 - March 27, 2018
GROVE POINT INVESTMENTS, LLC
BD
CRD#: 1763
ELM GROVE, WI
Past
September 5, 2000 - April 7, 2017
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
MILWAUKEE, WI
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
Wisconsin(4/10/2018)
IAR
Wisconsin(4/10/2018)
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
THRIVENT INVESTMENT MANAGEMENT INC.
CRD#: 18387Waukesha, WI 53186TRUST BUT VERIFY
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