PK
Paul L. Kwiecien
THRIVENT INVESTMENT MANAGEMENT
Waukesha, WI 53186
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CRD#: 5439660
PK
Professional summary
Paul Luther Kwiecien is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Waukesha, Wisconsin.
Paul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Paul has worked at 1 firm and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
FLY FISHING GUIDE SERVICES POSITION: Guide NATURE: Fly fishing fuide services for auction with charitable fund raising events. INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 1 START DATE: 05/01/1997 ADDRESS: 705 N Hartwell Ave, Waukesha WI 53186, United States DESCRIPTION: Provide guide services including breakfast and lunch, transportation and all necessary fishing equipment excluding waders and fishing licenses. CRUSH HOLDINGS, LLC POSITION: Co-owner NATURE: Ownership of the building at the address above for the purpose of crush Wine Bar occupancy. In addition there is an apartment above (2nd floor) and a potential space for lease below (basement). INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 10/02/2023 ADDRESS: 110 Main St, Mukwonago WI 53149, United States DESCRIPTION: My role is to ensure that all municipal relations are properly handled. CRUSH, LLC POSITION: Vice President and 50% Owner NATURE: Wine bar INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 08/13/2014 ADDRESS: 378 W. Main St., Waukesha WI 53186, United States DESCRIPTION: I am financial investor and hold a bartender's license but have no specific duties related to the day-to-day operation.
CRS (Client Relationship Summary) - RIA
Click below to view Paul Luther Kwiecien's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Paul Luther Kwiecien'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
January 2, 2008 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 20935 Swenson Dr, Waukesha, WI 53186RIA
BD
CRD#: 18387
Waukesha, WI
Current
December 12, 2007 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 20935 Swenson Dr, Waukesha, WI 53186RIA
BD
CRD#: 18387
Waukesha, 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
Arizona(8/1/2024)
RR
Colorado(8/4/2022)
RR
Florida(3/8/2021)
RR
Illinois(12/9/2011)
RR
Maryland(10/10/2025)
RR
Michigan(4/13/2012)
RR
Minnesota(10/10/2025)
RR
Montana(1/8/2025)
RR
Oregon(2/10/2025)
RR
Tennessee(6/24/2024)
RR
Texas(8/4/2022)
IAR
Texas(8/5/2022)
RR
Washington(9/3/2014)
RR
Wisconsin(1/2/2008)
IAR
Wisconsin(1/2/2008)
Exams
State Security Law Exam
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.
Company Information
THRIVENT INVESTMENT MANAGEMENT INC.
CRD#: 18387Waukesha, WI 53186TRUST BUT VERIFY
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