JN
Joshua A. Newhouse
THRIVENT INVESTMENT MANAGEMENT
Storm Lake, IA 50588
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CRD#: 4946906
JN
Professional summary
Joshua Alan Newhouse, who also goes by Josh Alan Newhouse, is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Storm Lake, Iowa.
Joshua is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Joshua has worked at 1 firm and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Josh Alan Newhouse
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.
BUENA VISTA REGIONAL HEALTHCARE FOUNDATION POSITION: BOARD DIRECTOR NATURE: FUNDRAISING ARM OF LOCAL HOSPITAL. INVESTMENT RELATED: NO NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2014 ADDRESS: 1525 WEST 5TH ST, STORM LAKE IA 50588 DESCRIPTION: FUNDRAISING AND DISBURSEMENT OF FOUNDATION FUNDS TO HOSPITAL RELATED ACTIVITIES. STORM LAKE FOUNDATION POSITION: Board Member NATURE: Storm Lake Foundation owns and manages youth athletics fields in Storm Lake. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 09/16/2021 ADDRESS: 10 Park Ct, Storm Lake IA 50588, United States DESCRIPTION: Board members oversee volunteer and paid staff, programming at facility, and engage in fundraising and budgeting for short term expenses and long term capital expenditures. No oversight of funds or investments. STAR SPANGLED SPECTACULAR POSITION: Fundraising Chair NATURE: Star Spangled Spectacular - Iowa Not-For-Profit Corporation responsible for events on July 3 and July 4 each year in Storm Lake, Iowa. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2008 ADDRESS: 800 Pierce Dr, Storm Lake IA 50588, United States DESCRIPTION: Prepare mailing for fundraising to donors and prospects, meet with major donors, record donations, deposit checks into Star Spangled Spectacular checking account, prepare list of donors for press release, update records annually in separate database. GROUP BENEFITS, LTD/WELLMARK BLUE CROSS AND BLUE SHIELD OF IOWA POSITION: Producer NATURE: Individual and group health insurance products offered through Wellmark Blue Cross and Blue Shielf of Iowa and their subsidiaries, serving markets of Individual and Family Plans, Small Group, Large Group, and Medicare clients. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 08/01/2007 ADDRESS: 12006 Ridgemount Dr, Urbandale IA 50323, United States DESCRIPTION: Meet with insurance clients and prospects who contact me regarding health insurance options. Assist them in choosing a plan that is in their best interest. Help enroll individuals and participants in paper form enrollment in the desired plan. Related service work.
CRS (Client Relationship Summary) - RIA
Click below to view Joshua Alan Newhouse's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Joshua Alan Newhouse'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 15, 2005 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 519 Michigan St, Storm Lake, IA 50588Office #2: 9 S 7th St, Estherville, IA 51334RIA
BD
CRD#: 18387
Storm Lake, IA
Current
June 14, 2005 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 519 Michigan St, Storm Lake, IA 50588Office #2: 9 S 7th St, Estherville, IA 51334RIA
BD
CRD#: 18387
Storm Lake, 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
Arizona(2/25/2019)
RR
California(7/23/2020)
RR
Colorado(8/11/2020)
RR
Florida(11/21/2024)
RR
Iowa(7/15/2005)
IAR
Iowa(7/15/2005)
RR
Massachusetts(5/23/2019)
RR
Minnesota(5/15/2007)
RR
Missouri(3/25/2014)
RR
Nebraska(8/8/2013)
RR
South Dakota(11/2/2012)
RR
Wisconsin(8/24/2010)
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
THRIVENT INVESTMENT MANAGEMENT INC.
CRD#: 18387Storm Lake, IA 50588TRUST BUT VERIFY
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