KS
Karen L. Suttman
THRIVENT INVESTMENT MANAGEMENT
Painesville, OH
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CRD#: 5488618
KS
Professional summary
Karen Lynn Suttman, who also goes by Karen Lynn Winfield, is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Painesville, Ohio.
Karen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Karen has worked at 1 firm and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Karen Lynn Winfield
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.
COASTAL VISION LLC POSITION: Owner NATURE: No Activity at this time. Opened to manage rental properties. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 03/25/2013 ADDRESS: 1697, Mentor Ave, Painesville OH 44077, United States DESCRIPTION: File appropriate paperwork annually. WINMAN PROPERTIES LLC POSITION: Owner NATURE: No Activities at this time, was opened to own rental properties. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 07/26/2013 ADDRESS: 7755 Brakeman Rd, Painesville OH 44077, United States DESCRIPTION: File appropriate paperwork annually. HARRIET TUBMAN MOVEMENT POSITION: Board Member NATURE: They help get sex trafficking victims off the streets and into safe homes and rehab programs. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2024 ADDRESS: P.O Box 43, Burton OH 44077, United States DESCRIPTION: I will help oversee the direction of the organization and help with fundraising. SEVEN BROTHERS DISTILLING COMPANY POSITION: Board Of Director NATURE: Seven Brothers is a locally owned artisan distillery located in Cleveland, Ohio. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 07/15/2011 ADDRESS: 7755 Brakeman Rd, Painesville OH 44077, United States DESCRIPTION: As a board member I will be responsible for reviewing business operations and strategic decisions. 7745 BRAKEMAN RD RENTAL POSITION: Owner NATURE: My son rents this home from us; he is covering expenses only. We are beginning renting this to him on 7-1-2025 INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 07/01/2025 ADDRESS: 7745 Brakeman Rd, Painesville OH 44077, United States DESCRIPTION: Collect rent and fix up home when needed along with paying taxes and fees.
CRS (Client Relationship Summary) - RIA
Click below to view Karen Lynn Suttman's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Karen Lynn Suttman'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
April 7, 2008 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #2: 3922 Clock Pointe Trail, Stow, OH 44224Office #3: 2723 S.o.m. Center Rd, Willoughby Hills, OH 44094RIA
BD
CRD#: 18387
Painesville, OH
Current
March 24, 2008 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #2: 3922 Clock Pointe Trail, Stow, OH 44224Office #3: 2723 S.o.m. Center Rd, Willoughby Hills, OH 44094RIA
BD
CRD#: 18387
Painesville, OH
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(10/5/2023)
RR
Arizona(12/16/2016)
RR
California(12/16/2016)
RR
Florida(11/19/2009)
RR
Illinois(3/21/2019)
RR
Indiana(2/20/2019)
RR
Kansas(9/17/2020)
RR
Kentucky(9/17/2020)
RR
Maryland(1/18/2023)
RR
Michigan(5/25/2021)
RR
Minnesota(4/18/2023)
RR
Montana(9/26/2024)
RR
North Carolina(10/7/2015)
RR
Ohio(3/25/2008)
IAR
Ohio(4/7/2008)
RR
Oklahoma(1/23/2024)
IAR
Oklahoma(1/24/2024)
RR
Pennsylvania(2/25/2014)
RR
Texas(8/26/2019)
IAR
Texas(8/28/2019)
RR
Virginia(11/27/2023)
RR
West Virginia(3/14/2019)
RR
Wisconsin(4/25/2013)
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.
