JO
Joel B. Otto
THRIVENT INVESTMENT MANAGEMENT
Beloit, WI 53511
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CRD#: 5702872
JO
Joel Bruce OttoTHRIVENT INVESTMENT MANAGEMENT
Professional summary
Joel Bruce Otto is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Beloit, Wisconsin.
Joel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Joel has worked at 1 firm and has passed the Series 66, Series 7TO and SIE exams.
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.
BELOIT CARES POSITION: Board member NATURE: Beloit Cares provides resources to help individuals in the Beloit area realize their capacity and ability to do for themselves. Efforts are made to help network with community resources and groups to help make a difference for people on the margins in the Beloit community. INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 12/15/2025 ADDRESS: 2170 Murphy Woods Road, Beloit WI 53511, United States DESCRIPTION: I will attend quarterly meetings and also volunteer with events when we have them as my schedule allows. SELLING SPORTS CARDS POSITION: ebay seller NATURE: I plan to start selling sports cards on Ebay, and maybe do a table at a sports card show sometime. I have a large sports card collection and hope to trim it down quite a bit by selling cards I don't want in my collection any more. I may also buy cards in the future on facebook or ebay, keep the ones I want and sell of the ones I don't. INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 0 START DATE: 02/01/2025 ADDRESS: 3529 Eagles Ridge Dr, Beloit WI 53511, United States DESCRIPTION: Posting cards online, possibly through ebay and starting my own ebay page, possibly through other sports cards auction sites, and selling cards on facebook marketplace and possible selling cards at local area card shows. WILLOW WOMEN'S CENTER POSITION: Board member NATURE: Willow Womens Center is a ministry to women who are unexpectedly pregnant. They provide services including ultrasounds, STD testing, counseling, parenting classes, etc. to women for no charge. They exist to try and help women to be able to pursue avenues for keeping their baby instead of choosing to have an abortion. INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 02/01/2025 ADDRESS: 2680 Prairie Ave., Beloit WI 53511, United States DESCRIPTION: Be active as a board member with the ministry. Serve with events, fundraisers, etc. as I am able to. We also oversee and approve decisions and direction for the ministry in partnership with the paid staff. OUTDOOR OUTREACH POSITION: Board member NATURE: the non profit has been operating for around 20 years, providing an outdoor day camp experience for at risk children and middle schoolers from the Stateline area. Children are provided a free camp experience, including transportation if needed to and from their communities. They learn different skills, have team building activities, and have worship times with speakers. INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 02/26/2024 ADDRESS: 4661 Yale Bridge Road, Rockton IL 61072, United States DESCRIPTION: Attending board meetings, helping with fundraising activities for the organization, participating some way in the week of camp. CENTRAL CHRISTIAN CHURCH POSITION: pastor NATURE: Have been asked to do a wedding or funeral occasionally, and also asked to speak / fill pulpit and deliver a sermon occasionally. After long time in ministry, some people still ask me to serve in these roles, which I am paid for. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 08/01/2019 ADDRESS: 2460 MIlwaukee Road, Beloit WI 53511, United States DESCRIPTION: Write, plan and prepare wedding service with each couple. Meet with family to plan any funeral service. Speak at church to fill pulpit here or at other churches
CRS (Client Relationship Summary) - RIA
Click below to view Joel Bruce Otto's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Joel Bruce Otto'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 3, 2019 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 2225 Cranston Road, Beloit, WI 53511RIA
BD
CRD#: 18387
Beloit, WI
Current
March 13, 2019 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 2225 Cranston Road, Beloit, WI 53511RIA
BD
CRD#: 18387
Beloit, 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(5/4/2021)
RR
Colorado(2/11/2022)
RR
Florida(7/30/2019)
RR
Georgia(7/25/2023)
RR
Illinois(4/16/2019)
RR
Indiana(11/3/2022)
RR
Iowa(3/30/2021)
RR
Kentucky(4/12/2021)
RR
Louisiana(2/6/2024)
RR
Minnesota(4/16/2019)
RR
North Carolina(9/9/2019)
RR
Ohio(3/20/2025)
RR
Texas(3/30/2021)
IAR
Texas(3/30/2021)
RR
Washington(11/3/2022)
RR
Wisconsin(4/3/2019)
IAR
Wisconsin(4/3/2019)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 3/13/2019
General Securities Representative ExaminationGeneral 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 |
|---|---|---|
| 01/22/2026 | ||
| 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.
