BW
Benjamin E. Wagner
THRIVENT INVESTMENT MANAGEMENT
APPLETON, WI 54919-0001
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CRD#: 5352534
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Professional summary
Benjamin Edward Wagner, who also goes by Benjamin E Wagner, is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Appleton, Wisconsin.
Benjamin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Benjamin has worked at 4 firms and has passed the Series 66, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Benjamin E Wagner
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.
NEENAH SOCCER CLUB POSITION: Director at Large NATURE: Neenah Soccer Club (NSC)is a youth soccer program for players ages U5-U19.NSC provides soccer skill training to youth and the opportunity to compete against other youth soccer clubs in the area. NSC is dedicated to promoting youth soccer and good sportsmanship in the greater Neenah area. INVESTMENT RELATED: No NUMBER OF HOURS: 12 SECURITIES TRADING HOURS: 0 START DATE: 09/23/2017 ADDRESS: Neenah Soccer Club, PO Box 173, Neenah WI 54957, United States DESCRIPTION: Responsibilities for this position include planning and organization of local soccer tournaments, scheduling of league soccer games and occasional maintenance of the soccer field. This position has a two year term.
CRS (Client Relationship Summary) - RIA
Click below to view Benjamin Edward Wagner's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Benjamin Edward Wagner'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 21, 2011 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 4321 N Ballard Rd, Appleton, WI 54919-0001RIA
BD
CRD#: 18387
APPLETON, WI
Current
December 21, 2011 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 4321 N Ballard Rd, Appleton, WI 54919-0001RIA
BD
CRD#: 18387
APPLETON, WI
Past
August 18, 2008 - December 16, 2011
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
GREEN BAY, WI
Past
August 18, 2008 - December 16, 2011
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
GREEN BAY, WI
Past
October 2, 2007 - August 11, 2008
SII INVESTMENTS, INC.
RIA
CRD#: 2225
APPLETON, WI
Past
October 2, 2007 - August 11, 2008
INVESTMENT CENTERS OF AMERICA, INC.
BD
CRD#: 16443
APPLETON, WI
Past
July 11, 2007 - August 11, 2008
SII INVESTMENTS, INC.
BD
CRD#: 2225
APPLETON, WI
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
Wisconsin(12/21/2011)
IAR
Wisconsin(12/21/2011)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
