NL
Nicholas S. Lewis
THRIVENT INVESTMENT MANAGEMENT
Owatonna, MN 55060
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CRD#: 4649877
NL
Professional summary
Nicholas Samuel Lewis, CFP® is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Owatonna, Minnesota.
Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Nicholas has worked at 1 firm and has passed the Series 66, SIE and Series 7 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.
MY OFFICE IS OWNED BY NATRLL LLC. I AM THE MANAGER OF NATRLL LLC. ADDRESS IS 113 W. MAIN ST. OWATONNA MN 55060 THE LLC OWNS THE BUILDING TO CREATE PASSIVE INCOME FOR MY RENT. OWATONNA TACKLE BACKERS POSITION: President of Board NATURE: Section 1 - Name: The name of the corporation shall be The Owatonna Tackle Backers, hereafter referred to OTB. It shall be a nonprofit organization incorporated under the laws of the State of Minnesota. Section 2 - Purpose: OTB is organized exclusively for charitable, religious, educational, and scientific purposes, as specified in Section 501(c)(3) of the Internal Revenue Code. The purpose of this corporation is to provide educational, financial support and Guidance to the Owatonna Fishing Team for the benefit of the student athletes and coaches. This organizational structure will help meet the team's goals of safety, fun and education. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 05/01/2020 ADDRESS: 113 W. Main Stl., Owatonna MN 55060, United States DESCRIPTION: I'm the president of the Board of Directors for the Owatonna Tackle Backers. I facilitate the board meetings we hold each month on Wednesdays at 7pm. OWATONNA YOUTH HOCKEY ASSOCIATION POSITION: Board Member NATURE: Owatonna Youth Hockey Association implements a program for all youth hockey players to develop, compete to the best of their abilities in a fun and enjoyable environment. INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 11/22/2021 ADDRESS: 1525 S Elm Ave., Owatonna MN 55060, United States DESCRIPTION: As a board member my responsibilities are to attend and actively participate in monthly meetings and govern the program through policies and committees. NATRLL LLC POSITION: Manager NATURE: LLC owns the office building for my office. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 06/08/2011 ADDRESS: 113 W Main St, Owatonna MN 55060, United States DESCRIPTION: Hold annual meeting each year to discuss any changes to the LLC.
CRS (Client Relationship Summary) - RIA
Click below to view Nicholas Samuel Lewis's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Nicholas Samuel Lewis'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: 2013
Experience
Current
November 18, 2013 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 113 W Main St, Owatonna, MN 55060RIA
BD
CRD#: 18387
Owatonna, MN
Current
May 30, 2003 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 113 W Main St, Owatonna, MN 55060RIA
BD
CRD#: 18387
Owatonna, MN
Past
March 22, 2006 - December 31, 2007
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
CRD#: 18387
OWATONNA, 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
California(5/27/2020)
RR
Colorado(1/30/2006)
RR
Iowa(6/8/2020)
RR
Minnesota(6/27/2003)
IAR
Minnesota(11/18/2013)
RR
Ohio(10/18/2022)
RR
Wisconsin(8/9/2012)
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
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Company Information
THRIVENT INVESTMENT MANAGEMENT INC.
CRD#: 18387Owatonna, MN 55060TRUST BUT VERIFY
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