Lisa F. Bonner
Professional summary
Lisa Faith Bonner, who also goes by Lisa Bonner, Lisa Faith Diehl, Lisa Faith Diehl, Lisa Faith Swaim, Lisa Faith Swaim-diehl, Lisa Faith Swaim, Lisa Faith Swaim-diehl, is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in New Albany, Ohio.
Lisa is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Lisa has worked at 11 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Lisa Faith Bonner's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Lisa Faith Bonner's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 19, 2020 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 6650 East Walnut Street, New Albany, OH 43054March 19, 2020 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 6650 East Walnut Street, New Albany, OH 43054August 20, 2018 - April 4, 2019
TD AMERITRADE, INC.
August 20, 2018 - April 4, 2019
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
August 17, 2018 - April 4, 2019
TD AMERITRADE, INC.
January 8, 2018 - March 12, 2018
LPL FINANCIAL LLC
January 8, 2018 - March 12, 2018
LPL FINANCIAL LLC
November 15, 2017 - January 9, 2018
ONEAMERICA SECURITIES, INC.
November 14, 2017 - January 9, 2018
ONEAMERICA SECURITIES, INC.
October 31, 2013 - November 18, 2015
J.P. MORGAN SECURITIES LLC
October 31, 2013 - November 18, 2015
J.P. MORGAN SECURITIES LLC
February 13, 2013 - November 6, 2013
ALLSTATE FINANCIAL ADVISORS, LLC
November 5, 2012 - November 6, 2013
ALLSTATE FINANCIAL SERVICES, LLC
April 18, 2012 - July 18, 2012
M&I FINANCIAL ADVISORS, INC
July 14, 2010 - April 18, 2012
M&I INVESTMENT MANAGEMENT CORP.
July 14, 2010 - July 18, 2012
M&I FINANCIAL ADVISORS, INC
March 5, 2007 - June 21, 2010
EDWARD JONES
July 26, 2004 - June 21, 2010
EDWARD JONES
Primary Firm SEC Registration
THRIVENT INVESTMENT MANAGEMENT INC.
CRD#: 18387 / SEC#: 801-29618, 8-36525
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/30/2023)
(3/25/2020)
(12/2/2021)
(3/26/2020)
(3/27/2020)
(3/24/2020)
(3/24/2020)
(1/20/2021)
(5/12/2021)
(3/26/2021)
Exams
FINRA
Current Firm
THRIVENT INVESTMENT MANAGEMENT INC.
CRD#: 18387 / SEC#: 801-29618, 8-36525
Contact information
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.
