DS
David R. Shattuck
THRIVENT INVESTMENT MANAGEMENT
Berlin, WI 54923
Some features on this profile are disabled
CRD#: 4765454
DS
Professional summary
David Robert Shattuck, who also goes by David Robert Shattuck Mr., is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Berlin, Wisconsin.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. David has worked at 1 firm and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
David Robert Shattuck Mr.
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.
141 W. HURON ST. LLC IS THE OTHER BUSINESS. I OWN THE BUSINESS AND THE BUSINESS OWNS A BUILDING. THIS IS THE BUILDING THAT I AM COLLECTING RENT ON FROM MY BUSINESS WITH THRIVENT AND FROM THREE OTHER BUSINESSES IN TOWN. THE ADDRESS IS THE SAME AS THE LLC. THE START DATE WAS APRIL 16, 2010. NO TIME DEVOTED TO THE BUSINESS. JUST AN HOUR OR TWO A MONTH TO PAY BILLS AND COLLECT RENT. IF THERE ARE SOME THINGS THAT NEED TO BE DONE MAINTENANCE WISE I WILL DO THAT IN MY OFF TIME. FARM RENT POSITION: Owner NATURE: The farm land is being rented, i collect a rent check. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 12/01/2014 ADDRESS: 8399 State Road 91, Berlin WI 54923, United States DESCRIPTION: no responsibilities. only if a something falls onto farm land i want to remove it so he can farm more of the land
CRS (Client Relationship Summary) - RIA
Click below to view David Robert Shattuck's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David Robert Shattuck'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
June 7, 2013 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 141 W Huron St, Berlin, WI 54923Office #2: 201 E Fond Du Lac St, Ripon, WI 54971RIA
BD
CRD#: 18387
Berlin, WI
Current
April 23, 2004 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 141 W Huron St, Berlin, WI 54923Office #2: 201 E Fond Du Lac St, Ripon, WI 54971RIA
BD
CRD#: 18387
Berlin, WI
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(12/14/2012)
RR
Florida(4/18/2023)
RR
Illinois(4/18/2023)
RR
Indiana(2/6/2013)
RR
Kentucky(2/4/2011)
RR
Michigan(4/22/2021)
RR
Minnesota(4/18/2023)
RR
South Dakota(9/22/2014)
RR
Texas(1/2/2022)
IAR
Texas(1/3/2022)
RR
Wisconsin(4/30/2004)
IAR
Wisconsin(6/7/2013)
Exams
State Security Law Exam
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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
