SH
Susan E. Hernandez
THRIVENT INVESTMENT MANAGEMENT
El Paso, TX 79903
Some features on this profile are disabled
CRD#: 5059513
SH
Professional summary
Susan E Hernandez, who also goes by Susan Elizabeth Hernandez, is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in El Paso, Texas.
Susan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Susan has worked at 1 firm and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Susan Elizabeth Hernandez
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.
EL PASO SYMPHONY POSITION: Violist/Asst Principal NATURE: violist in symphony orchestra INVESTMENT RELATED: No NUMBER OF HOURS: 21 SECURITIES TRADING HOURS: 0 START DATE: 08/01/1985 ADDRESS: 1 Civic Center Plaza, El Paso TX 79901 DESCRIPTION: perform as violist El Paso Opera POSITION: Violist INVESTMENT RELATED: No SECURITIES TRADING HOURS:0 START DATE: 09/01/1994 SUSAN HERNANDEZ POSITION: Self-Owner Musician NATURE: occasional work as musician (violist, clinician, or adjudicator) either playing viola, coaching viola or other music ensembles or judging music competitions for which I will be financially compensated. Business as a sole proprietor in my name Susan Hernandez INVESTMENT RELATED: No NUMBER OF HOURS: 30 SECURITIES TRADING HOURS: 10 START DATE: 09/01/2021 ADDRESS: 3020 Stone Edge, El Paso TX 79904, United States DESCRIPTION: playing or coaching viola or other music ensembles or adjudicating music contests VETERAN SERVICE CORPS PROJECT -ROCKY MOUNTAIN SYNOD ELCA POSITION: El Paso area representative NATURE: would be a board member representing ELCA congregations in the El Paso/Las Cruces region INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 2 START DATE: 07/01/2022 ADDRESS: RMS-ELCA 7375 Samuel Drive, Denver CO 80221, United States DESCRIPTION: attending monthly or bi/monthly zoom board meeting, attending synod assembly with veteran servant corp project in a volunteer capacity, advocating for the work of veteran servant corps with local congregations and military populations NEW HOPE LUTHERAN CHURCH ELCA POSITION: lay member at large NATURE: worshipping lutheran christian congregation INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 05/21/2023 ADDRESS: 4801 Sun Valley, El Paso TX 79924, United States DESCRIPTION: would be a voting member of the congregational council, would hear reports from all ministries and would vote accordingly. Would not be involved in any tasks as treasurer, financial secretary, finance committee etc. Would not have signatory on any congregational accounts. AMERICAN FEDERATION OF MUSICIANS POSITION: board member at large NATURE: support advocacy organization for professional musicians INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2026 ADDRESS: 2701 San Pedro NE Suite 12, Albuquerque NM 87110, United States DESCRIPTION: attend quarterly board meetings via zoom during evening hours, speak to musician concerns from the El Paso/Las Cruces area as needed. As a board member I would vote on items before the board. I would have no signatory on any financial matters, nor would I have access to any bank accounts.
CRS (Client Relationship Summary) - RIA
Click below to view Susan E Hernandez's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Susan E Hernandez'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
December 12, 2023 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 2615 Montana Ave, El Paso, TX 79903RIA
BD
CRD#: 18387
El Paso, TX
Current
July 14, 2015 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 2615 Montana Ave, El Paso, TX 79903RIA
BD
CRD#: 18387
El Paso, TX
Past
September 18, 2006 - May 26, 2015
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
EL PASO, TX
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(1/6/2022)
RR
Alaska(9/4/2024)
RR
Colorado(8/7/2024)
RR
Georgia(4/1/2022)
RR
Minnesota(1/24/2024)
RR
New Mexico(7/23/2015)
RR
Oklahoma(7/23/2015)
IAR
Oklahoma(12/12/2023)
RR
Texas(7/14/2015)
IAR
Texas(12/12/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/11/2024
General Securities Representative ExaminationGeneral 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
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.
