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Benjamin D. Weerts
THRIVENT INVESTMENT MANAGEMENT
Cohasset, MN
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CRD#: 4599640
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Professional summary
Benjamin D Weerts, who also goes by Benjamin Dean Weerts, is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Cohasset, Minnesota.
Benjamin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Benjamin has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Benjamin Dean Weerts
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.
BAB PROPERTIES, LLC POSITION: Member/Owner NATURE: I am a 45% owner/member of this office building of which I am in the process of selling out my ownership to me previous business partner Brad Nelson. I do not receive any income from this property and it was previously used to house my financial practice. I hope to have sold out of my business interest in the next couple of months. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 10/01/2024 ADDRESS: 32 NW 4th St, Grand Rapids MN 55744, United States DESCRIPTION: My role is being an owner of this property and right now I am working with a CPA and attorney to sell my ownership.
CRS (Client Relationship Summary) - RIA
Click below to view Benjamin D Weerts's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Benjamin D Weerts'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
September 4, 2024 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #2: 900 5th Street, International Falls, MN 56649Office #3: 102 Ne 3rd Street, Grand Rapids, MN 55744Office #4: 100 Chestnut Ave, Carlton, MN 55718RIA
BD
CRD#: 18387
Cohasset, MN
Current
September 3, 2024 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 900 5th Street, International Falls, MN 56649Office #2: 102 Ne 3rd Street, Grand Rapids, MN 55744Office #3: 100 Chestnut Ave, Carlton, MN 55718RIA
BD
CRD#: 18387
International Falls, MN
Past
August 30, 2024 - September 3, 2024
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
CRD#: 18387
Aitkin, MN
Past
June 9, 2023 - August 29, 2024
ONEASCENT FINANCIAL SERVICES LLC
RIA
CRD#: 284549
Grand Rapids, MN
Past
December 20, 2013 - June 12, 2023
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
CRD#: 18387
Grand Rapids, MN
Past
November 27, 2002 - June 12, 2023
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
Grand Rapids, 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(9/5/2024)
RR
California(6/6/2025)
RR
Florida(9/5/2024)
RR
Minnesota(9/3/2024)
IAR
Minnesota(9/4/2024)
RR
North Dakota(9/5/2024)
RR
Texas(9/5/2024)
IAR
Texas(9/5/2024)
RR
Wisconsin(9/5/2024)
Exams
State Security Law 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
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.
