NM
Neal L. Meseck
THRIVENT INVESTMENT MANAGEMENT
Denison, IA 51442
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CRD#: 4736563
NM
Professional summary
Neal Lawrence Meseck is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Denison, Iowa.
Neal is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Neal 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.
FARM LAND INCOME POSITION: owner NATURE: Appoximately 10 acres of farm ground. Rotated into alfalfa for about 5 years (that i do myself) and then rotated out to row crop for cash rental income for 2 year interval. INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 03/30/2022 ADDRESS: 2073 250th St, Exira IA 50076, United States DESCRIPTION: Plant, fertilize and harvest alfalfa. Occasionally sell hay or feed to livestock. IOWA YAK RANCH POSITION: Owner NATURE: Raise Tibetan Yaks with the goal to sell animals, meat and fiber from the herd. INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 03/30/2022 ADDRESS: 2073 250th St, Exira IA 50076, United States DESCRIPTION: Breed, and care for yaks. Feed, treat, groom and provide general animal husbandry for a small (10-25) herd of Tibetan yaks. Exhibit individuals at shows and and educational events. Goal is to sell individuals and yak products (fiber and meat) as the herd grows. AUDUBON COUNTY IA FAIR BOARD POSITION: Vice President NATURE: Plan and organize the county fair and maintain and improve the fairground facilities. INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 03/15/2023 ADDRESS: 412 N Division St, Audubon IA 50025, United States DESCRIPTION: Serve as a volunteer in planning and organizing activities at the county fair and other events throughout the year as they arise. EXIRA LUTHERAN CHURCH POSITION: Council member NATURE: Serve the spiritual needs of the Exira Lutheran Community. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 03/15/2023 ADDRESS: 106 East Harrison St, Exira IA 50076, United States DESCRIPTION: Serve as an elected leader as a member of the church council on all matters related to the operation of the congregation.
CRS (Client Relationship Summary) - RIA
Click below to view Neal Lawrence Meseck's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Neal Lawrence Meseck'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
July 29, 2004 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 20 N Main St, Denison, IA 51442RIA
BD
CRD#: 18387
Denison, IA
Current
January 23, 2004 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 20 N Main St, Denison, IA 51442RIA
BD
CRD#: 18387
Denison, IA
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
Colorado(1/21/2014)
RR
Illinois(7/25/2011)
RR
Iowa(2/25/2004)
IAR
Iowa(7/29/2004)
RR
Missouri(3/22/2012)
RR
Nebraska(9/18/2009)
RR
North Carolina(3/23/2012)
RR
North Dakota(6/11/2025)
RR
South Dakota(10/10/2016)
RR
Virginia(9/24/2013)
RR
Wisconsin(9/18/2008)
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.
