David John Buss
Professional Summary
David John Buss is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Appleton, Wisconsin. David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. David has worked at 1 firm and has passed the Series 65, Series 63, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
19 years in the financial services industry
Current & Past Employments
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Current Firm
AAL CAPITAL MANAGEMENT CORPORATION | THRIVENT INVESTMENT MANAGEMENT INC. | FORTRESS DISTRIBUTORS, INC. | AAL DISTRIBUTORS INC.
Contact Information
Main Address
600 Portland Avenue South, Minneapolis, MN 55415Mailing Address
600 Portland Avenue South, Minneapolis, MN 55415Phone Number
+1 (800) 847-4836Established
Delaware since 07/29/1986Firm Type
CorporationFiscal Year End
DecemberFirm Size
Large# of Employees
3,901SEC notice filing (51 States and Territories)
Registered to provide investment advisory services in 51 US states and territories.
FINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 51 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THRIVENT FINANCIAL HOLDINGS, INC. | OWNER | — |
| ASK, ERIC A | DIRECTOR | 5649938 |
| 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 |
| JOHNSTON, PAUL ROBERTS | DIRECTOR | 2065882 |
| KLOSTER, DAVID JACOB | PRESIDENT | 2523240 |
| NORGARD, ANDREW DYLAN | TREASURER | 6868385 |
| OHARA, BRANDON M | CHIEF COMPLIANCE OFFICER | 4798646 |
Regulatory Assets Under Management
Total Number of Accounts
54,503AUM (Assets Under Management)
$20,769,867,010Disclosures
Regulatory Event
8Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/22/2026 | Cover Page | Report |
| 01/22/2026 | Cover Page | Report |
| 10/21/2024 | Cover Page | Report |
| 01/25/2024 | Cover Page | Report |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
AAL CAPITAL MANAGEMENT CORPORATION | THRIVENT INVESTMENT MANAGEMENT INC. | FORTRESS DISTRIBUTORS, INC. | AAL DISTRIBUTORS INC.
State Registrations and Notice Filings
(10/16/2024)
(6/24/2015)
(3/19/2007)
(3/19/2007)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view David John Buss's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David John Buss's CRS (Customer Relationship Summary).
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