CK
Catherine Krauter
THRIVENT INVESTMENT MANAGEMENT
Kenosha, WI
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CRD#: 4323227
CK
Professional summary
Catherine Krauter, who also goes by Catherine Myrtle Foster, Catherine Myrtle Jin Foster, Caty Foster, Catherine Foster, Catherine Myrtle Myung Hee Krauter, Caty Krauter, is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Kenosha, Wisconsin.
Catherine is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Catherine has worked at 6 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Catherine Myrtle Foster | Catherine Myrtle Jin Foster | Caty Foster | Catherine Foster | Catherine Myrtle Myung Hee Krauter | Caty Krauter
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.
PERFECTLY POSH POSITION: Advocate NATURE: Perfectly Posh is a direct selling skincare company. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 04/15/2024 ADDRESS: 901 Sam Rayburn Hwy, Melissa TX 75454, United States DESCRIPTION: I would like to join Perfectly Posh as an Advocate to buy products for my own use and for my immediate family.I will not be actively promoting this company to the public or to clients.
CRS (Client Relationship Summary) - RIA
Click below to view Catherine Krauter's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Catherine Krauter'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
March 11, 2024 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
BD
CRD#: 18387
Kenosha, WI
Current
February 19, 2024 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
BD
CRD#: 18387
Kenosha, WI
Past
August 12, 2008 - November 3, 2008
CUNA BROKERAGE SERVICES, INC.
RIA
CRD#: 13941
ST PAUL, MN
Past
August 11, 2008 - November 3, 2008
CUNA BROKERAGE SERVICES, INC.
BD
CRD#: 13941
ST PAUL, MN
Past
May 5, 2003 - August 13, 2008
CUSO FINANCIAL SERVICES, L.P.
BD
CRD#: 42132
ST. PAUL, MN
Past
April 25, 2002 - October 1, 2002
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
EL SEGUNDO, CA
Past
February 7, 2001 - March 4, 2002
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
February 7, 2001 - March 4, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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
Arizona(4/17/2024)
RR
California(4/17/2024)
RR
Texas(4/17/2024)
IAR
Texas(4/17/2024)
RR
Washington(4/17/2024)
RR
Wisconsin(3/11/2024)
IAR
Wisconsin(3/11/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 2/17/2024
General Securities Representative ExaminationGeneral 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
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.
