CR
Carrie A. Rueckl
THRIVENT INVESTMENT MANAGEMENT
Las Vegas, NV 89113
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CRD#: 4846819
CR
Professional summary
Carrie Alane Rueckl, who also goes by Carrie Alane Castronova, Carrie Alane Johnson, Carrie Johnson, Carrie Alane Tackett, Carrie Tackett, is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Las Vegas, Nevada.
Carrie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Carrie has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Carrie Alane Castronova | Carrie Alane Johnson | Carrie Johnson | Carrie Alane Tackett | Carrie Tackett
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.
RICHMOND PARK HOA POSITION: Treasurer NATURE: I am a member of the Home Owners Association Board of Directors.I was elected into the position of Treasurer.The President of the Board signs all contracts that the board votes on. I do have signing privileges' if the President is unavailable. I, as the treasurer, approve invoices with the president as they come due on a monthly basis, both of our signatures are required before payment can be made by the management company. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 12/01/2021 ADDRESS: 2133 Twickenham PL, Las Vegas NV 89108, United States DESCRIPTION: To review contracts, bills and make the best decision for the betterment of the community. I do this is partnership with the 4 other board members.I am responsible for signing invoices in conjunction with the President of board, Steven Miyamoto.
CRS (Client Relationship Summary) - RIA
Click below to view Carrie Alane Rueckl's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Carrie Alane Rueckl'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
April 29, 2022 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 8345 West Sunset Rd, Las Vegas, NV 89113RIA
BD
CRD#: 18387
Las Vegas, NV
Current
April 25, 2022 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 8345 West Sunset Rd, Las Vegas, NV 89113RIA
BD
CRD#: 18387
Las Vegas, NV
Past
July 20, 2018 - April 18, 2022
BANKERS LIFE ADVISORY SERVICES, INC.
RIA
CRD#: 281285
Las Vegas, NV
Past
April 8, 2016 - April 18, 2022
BANKERS LIFE SECURITIES, INC.
BD
CRD#: 173962
Las Vegas, NV
Past
October 11, 2010 - September 2, 2011
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
LAS VEGAS, NV
Past
September 18, 2008 - October 26, 2009
UVEST FINANCIAL SERVICES GROUP, INC.
BD
CRD#: 13787
LAS VEGAS, NV
Past
December 16, 2004 - September 18, 2008
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
DULUTH, GA
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
Alaska(3/30/2023)
RR
Arizona(1/14/2023)
RR
California(12/14/2022)
RR
Colorado(5/3/2023)
RR
Florida(1/11/2023)
RR
Georgia(5/26/2023)
RR
Idaho(6/29/2023)
RR
Illinois(3/30/2023)
RR
Indiana(8/28/2025)
RR
Iowa(3/30/2023)
RR
Kansas(3/30/2023)
RR
Louisiana(9/10/2025)
RR
Michigan(9/21/2023)
RR
Minnesota(3/30/2023)
RR
Montana(2/8/2024)
RR
Nebraska(3/30/2023)
RR
Nevada(4/25/2022)
IAR
Nevada(4/29/2022)
RR
New Jersey(1/25/2024)
RR
New Mexico(1/14/2023)
RR
New York(3/30/2023)
RR
North Carolina(3/30/2023)
RR
North Dakota(11/2/2023)
RR
Ohio(4/3/2025)
RR
Oregon(2/22/2023)
RR
Pennsylvania(3/18/2024)
RR
South Carolina(3/14/2025)
RR
South Dakota(3/25/2024)
RR
Tennessee(11/27/2023)
RR
Texas(11/11/2022)
IAR
Texas(11/14/2022)
RR
Utah(3/30/2023)
RR
Virginia(2/23/2024)
RR
Washington(2/22/2023)
RR
Wyoming(6/13/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
