NS
Nicholas J. Streit
THRIVENT INVESTMENT MANAGEMENT
Mars, PA
Some features on this profile are disabled
CRD#: 4884224
NS
Professional summary
Nicholas J Streit, CFP®, who also goes by Nicholas John Streit, Nick Streit, is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Mars, Pennsylvania.
Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Nicholas has worked at 12 firms and has passed the Series 66, Series 7TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nicholas John Streit | Nick Streit
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Nicholas J Streit's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Nicholas J Streit'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®
Experience
Current
August 16, 2023 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
BD
CRD#: 18387
Mars, PA
Current
July 19, 2023 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 600 Portland Ave S Msc 7100, Minneapolis, MN 55415RIA
BD
CRD#: 18387
Minneapolis, MN
Past
February 10, 2021 - October 14, 2021
ZACKS INVESTMENT MANAGEMENT, INC.
RIA
CRD#: 110897
CHICAGO, IL
Past
November 20, 2019 - February 12, 2021
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Wilmington, NC
Past
November 20, 2019 - February 12, 2021
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Wilmington, NC
Past
July 10, 2019 - November 29, 2019
MORNINGSTAR INVESTMENT SERVICES LLC
RIA
CRD#: 112525
CHICAGO, IL
Past
July 10, 2019 - November 29, 2019
MORNINGSTAR INVESTMENT SERVICES LLC
BD
CRD#: 112525
CHICAGO, IL
Past
January 24, 2017 - March 9, 2018
SCOTTRADE INVESTMENT MANAGEMENT
RIA
CRD#: 169988
SAINT LOUIS, MO
Past
August 31, 2015 - March 9, 2018
SCOTTRADE, INC.
BD
CRD#: 8206
CHICAGO, IL
Past
May 6, 2014 - August 28, 2015
EDELMAN FINANCIAL SERVICES, LLC
RIA
CRD#: 113299
OAK BROOK, IL
Past
May 5, 2014 - August 28, 2015
SANDERS MORRIS LLC
BD
CRD#: 20580
OAK BROOK, IL
Past
June 22, 2006 - July 22, 2013
LPL FINANCIAL LLC
RIA
CRD#: 6413
CHICAGO, IL
Past
June 22, 2006 - July 22, 2013
LPL FINANCIAL LLC
BD
CRD#: 6413
SAN DIEGO, CA
Past
April 14, 2005 - October 20, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
SAN DIEGO, CA
Past
April 14, 2005 - October 20, 2005
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
April 14, 2005 - October 20, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, 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
Alabama(8/25/2023)
RR
Alaska(8/25/2023)
RR
Arizona(9/6/2023)
RR
Arkansas(9/5/2023)
RR
California(8/28/2023)
RR
Colorado(8/28/2023)
RR
Connecticut(8/25/2023)
RR
Delaware(8/28/2023)
RR
District of Columbia(8/30/2023)
IAR
District of Columbia(8/30/2023)
RR
Florida(8/28/2023)
RR
Georgia(8/28/2023)
RR
Hawaii(8/30/2023)
RR
Idaho(8/25/2023)
RR
Illinois(8/30/2023)
RR
Indiana(8/28/2023)
RR
Iowa(8/28/2023)
RR
Kansas(8/25/2023)
RR
Kentucky(8/28/2023)
RR
Louisiana(8/25/2023)
RR
Maine(8/28/2023)
RR
Maryland(8/30/2023)
RR
Massachusetts(8/28/2023)
RR
Michigan(8/29/2023)
RR
Minnesota(8/25/2023)
RR
Mississippi(8/28/2023)
RR
Missouri(8/25/2023)
RR
Montana(8/28/2023)
RR
Nebraska(8/25/2023)
RR
Nevada(8/31/2023)
RR
New Hampshire(8/29/2023)
RR
New Jersey(9/7/2023)
RR
New Mexico(8/28/2023)
RR
New York(8/30/2023)
RR
North Carolina(8/25/2023)
RR
North Dakota(8/28/2023)
RR
Ohio(8/25/2023)
RR
Oklahoma(8/28/2023)
IAR
Oklahoma(8/28/2023)
RR
Oregon(8/29/2023)
RR
Pennsylvania(8/16/2023)
IAR
Pennsylvania(8/16/2023)
RR
Rhode Island(8/29/2023)
RR
South Carolina(9/7/2023)
RR
South Dakota(8/25/2023)
RR
Tennessee(8/28/2023)
RR
Texas(8/25/2023)
IAR
Texas(8/25/2023)
RR
Utah(8/25/2023)
RR
Vermont(8/25/2023)
RR
Virginia(8/29/2023)
RR
Washington(8/25/2023)
RR
West Virginia(8/28/2023)
RR
Wisconsin(8/25/2023)
RR
Wyoming(8/28/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 4/25/2023
General Securities Representative ExaminationGeneral 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.
