JW
James O. Wegener
THRIVENT INVESTMENT MANAGEMENT
Davenport, IA 52807
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CRD#: 4649197
JW
Professional summary
James Otto Wegener, CFP®, CLU®, who also goes by Wegener Jim, Jim Otto Wegener, is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Davenport, Iowa.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. James has worked at 2 firms and has passed the Series 63, Series 66, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Wegener Jim | Jim Otto Wegener
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.
VACATION HOME 2 POSITION: Owner NATURE: This is a vacation home that my wife and I own and periodically rent out. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 12/12/2016 ADDRESS: 21 Southridge Dr, Galena IL 61036, United States LIVWELL CARES POSITION: President NATURE: New 501(c)(3) that provides services to low income individuals seeking placement in a facility for long-term care. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 03/27/2018 ADDRESS: 1603 W 29th St, Davenport IA 52804, United States DESCRIPTION: Meet with board every other month. THE LUTHERAN HOME FOR THE AGED ASSOCIATION-EAST POSITION: Director NATURE: Nursing home and assisted living facilities and services. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 07/01/2020 ADDRESS: PO Box 559, Vinton IA 52349, United States DESCRIPTION: Attend 1 meeting every quarter to review and discuss business at the Lutheran Home facilities in Vinton, IA and Davenport, IA.
CRS (Client Relationship Summary) - RIA
Click below to view James Otto Wegener's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Otto Wegener'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®
CFP®
Start date: 2010
Experience
Current
June 2, 2016 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 2466 E Kimberly Rd, Davenport, IA 52807RIA
BD
CRD#: 18387
Davenport, IA
Current
May 18, 2016 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 2466 E Kimberly Rd, Davenport, IA 52807RIA
BD
CRD#: 18387
Davenport, IA
Past
June 26, 2013 - April 25, 2016
CHOREO, LLC
RIA
CRD#: 111221
DAVENPORT, IA
Past
August 23, 2005 - June 20, 2013
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
CRD#: 18387
MOLINE, IL
Past
August 22, 2003 - June 20, 2013
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
MOLINE, IL
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
Alabama(5/5/2023)
RR
Arizona(4/9/2018)
RR
Colorado(6/22/2018)
RR
Delaware(6/22/2021)
RR
Florida(6/30/2016)
RR
Illinois(6/6/2016)
RR
Indiana(4/19/2018)
RR
Iowa(6/2/2016)
IAR
Iowa(6/2/2016)
RR
Kansas(4/13/2021)
RR
Michigan(2/16/2018)
RR
Minnesota(10/20/2017)
RR
Missouri(6/6/2016)
RR
New Jersey(8/31/2017)
RR
Ohio(8/30/2024)
RR
Oregon(9/24/2021)
RR
Tennessee(4/1/2020)
RR
Texas(12/5/2018)
IAR
Texas(12/6/2018)
RR
Virginia(11/14/2017)
RR
Washington(8/25/2022)
RR
Wisconsin(6/6/2016)
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
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.
Company Information
THRIVENT INVESTMENT MANAGEMENT INC.
CRD#: 18387Davenport, IA 52807TRUST BUT VERIFY
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