Ryan Stengle
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Ryan Stengle, who also goes by Ryan C Stengle, was a registered financial professional .
Ryan is a previously registered financial professional and started their career in finance in 2005. Ryan had worked at 10 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 23, 2019 - June 13, 2019
THRIVENT INVESTMENT MANAGEMENT INC.
May 20, 2019 - November 7, 2019
THRIVENT DISTRIBUTORS, LLC
May 12, 2017 - December 21, 2018
T. ROWE PRICE INVESTMENT SERVICES, INC.
July 16, 2015 - March 31, 2017
ARCHER DISTRIBUTORS, LLC
March 23, 2012 - December 31, 2014
ALPS DISTRIBUTORS, INC.
November 30, 2010 - December 5, 2011
GUGGENHEIM DISTRIBUTORS, LLC
March 28, 2008 - September 15, 2009
FIDELITY BROKERAGE SERVICES LLC
November 17, 2006 - July 6, 2007
CHICAGO INVESTMENT GROUP, LLC
June 20, 2006 - November 20, 2006
ADVANCED EQUITIES, INC.
June 27, 2005 - January 20, 2006
PRUCO SECURITIES, LLC.
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
Exams
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.
