AS
Agnes A. Schoch
THRIVENT INVESTMENT MANAGEMENT
Decatur, IN 46733
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CRD#: 5236231
AS
Professional summary
Agnes Ann Schoch, ChFC®, who also goes by Agnes Ann Laux, is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Decatur, Indiana.
Agnes is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Agnes has worked at 1 firm and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Agnes Ann Laux
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.
GENEVA TOWN COUNCIL POSITION: SERVE AS BOARD MEMBER NATURE: SERVE AS POSITION OF TOWN OF GENEVA BOARD TO APPROVE OR DISAPPROVE FUNCTIONS AND NEEDS OF THE TOWN OF GENEVA. THE TOWN IS APPROXIMATELY 1500 PEOPLE. THE BOARD MEETS ONCE A MONTH ON THE FIRST TUESDAY OF THE MONTH. THE MEETINGS ARE TYPICALLY ONE HOUR IN LENGTH. I WOULD NOT HAVE INPUT ON INVESTMENT OF TOWNS MONEY. FUNDS ARE HANDLED BY THE LOCAL BANK.HANDLE CONCERNS ABOUT THE STREETS, SEWAGE AND WATER LINES. GOVERN AND SETTOWN BY-LAWS. INVESTMENT RELATED: NO NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2015 ADDRESS: 411 EAST LINE ST, GENEVA IN 46740 DESCRIPTION: SAME AS LISTED ABOVE ON NATURE OF BUSINESS. LOCAL EMERGENCY MANAGEMENT COMMITTEE POSITION: board member NATURE: Oversee emergency management program for the County INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 09/18/2018 ADDRESS: 911 W Peacekeepers Way, Decatur IN 46733, United States DESCRIPTION: vote on emergency services to use and what plans to implement for emergency services to the county. Oversee the programs needs and discuss possible solutions ADAMS COUNTY ECONOMIC DEVELOPMENT POSITION: sit on board NATURE: Workforce development in the County INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/20/2019 ADDRESS: 313 W Jefferson St, Decatur IN 46733, United States DESCRIPTION: Listen to reports and help to support decisions to bring work to the county
CRS (Client Relationship Summary) - RIA
Click below to view Agnes Ann Schoch's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Agnes Ann Schoch'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
January 8, 2007 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 203 N 12th St, Decatur, IN 46733RIA
BD
CRD#: 18387
Decatur, IN
Current
December 8, 2006 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 203 N 12th St, Decatur, IN 46733RIA
BD
CRD#: 18387
Decatur, IN
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
Indiana(1/8/2007)
IAR
Indiana(1/8/2007)
RR
North Carolina(4/7/2025)
RR
Ohio(3/30/2007)
RR
South Carolina(11/8/2021)
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
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.
