SJ
Steven B. Jones
THRIVENT INVESTMENT MANAGEMENT
Poughkeepsie, NY 12603
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CRD#: 5750390
SJ
Professional summary
Steven Brian Jones, who also goes by Steven B Jones, is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Poughkeepsie, New York.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Steven has worked at 1 firm and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Steven B Jones
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.
MID-HUDSON LOVE IN THE NAME OF CHRIST: POSITION: President, Board of Directors NATURE: Non-profit charitable organization that ministers to needy individuals and families INVESTMENT RELATED:No NUMBER OF HOURS:8 SECURITIES TRADING HOURS:0 START DATE: 1/1/2012 DESCRIPTION: Legal accountability, financial planning and control, resource development, personnel especially of the executive directo, planning, continuity, policy and decision making, marketing and public relations , and program evaluation. OVERLOOK ESTATE ASSOCIATION POSITION: Bookkeeper NATURE: Overlook Estates Association is a membership social club of homeowners in my neighborhood. There are about 130 homes but membership is voluntary and about 75 households choose to join each year. The board of directors plans social activities that members and their guests are eligible to participate in. Dues is $30 per year per household. INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 1 START DATE: 02/03/2024 ADDRESS: 25 Schyler Dr, Poughkeepsie NY 12603, United States DESCRIPTION: Duties will include: receiving membership dues checks and depositing into the credit union accounts- assembling and presenting account balances and income/expense reports to the board (about six meetings per year) and the annual membership meeting. Expenses are authorized by the Treasurer via that person's signature. THE LUTHERAN CARE NETWORK - LUTHERAN CARE CENTER AFFILIATE POSITION: Board President NATURE: Lutheran Care Center at Concord Village: Licensed skilled nursing care center Castle Court at Concord Village: HUD-sponsored facility that offers 60private residences for elderly people who meet the HUD guidelines for low-income housing. The Kings Apartments (Pawling, NY): HUD-sponsored facility that offers 75 private residences for elderly people who meet the HUD guidelines for low-income housing. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 1 START DATE: 03/16/2018 ADDRESS: 965 Dutchess Turnpike, Poughkeepsie NY 12603, United States DESCRIPTION: Support and Evaluate the Chief ExecutiveEnsure Adequate Resources, Contributed Revenue, Earned Revenue, Government SupportProtect Assets and Provide Financial Oversight, Monitoring Money Management, Providing Audit Oversight Ensure Legal and Ethical Integrity, Compliance, Transparency, and AccountabilityEnhance the Organization's Public Standing, Advocating for MissionAs President chair the board of directors meetings.
CRS (Client Relationship Summary) - RIA
Click below to view Steven Brian Jones's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Steven Brian Jones'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
June 24, 2021 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 312 Titusville Rd, Poughkeepsie, NY 12603RIA
BD
CRD#: 18387
Poughkeepsie, NY
Current
April 26, 2010 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 312 Titusville Rd, Poughkeepsie, NY 12603RIA
BD
CRD#: 18387
Poughkeepsie, NY
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
California(7/19/2012)
RR
Connecticut(7/1/2010)
RR
Delaware(11/11/2021)
RR
Florida(3/1/2018)
RR
Maine(2/17/2016)
RR
Maryland(3/15/2021)
RR
Massachusetts(5/6/2011)
RR
New Hampshire(8/2/2021)
RR
New Jersey(7/30/2014)
RR
New York(6/7/2010)
IAR
New York(6/24/2021)
RR
North Carolina(6/2/2020)
RR
Pennsylvania(8/2/2022)
RR
South Carolina(5/10/2022)
RR
Tennessee(11/3/2020)
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
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Company Information
THRIVENT INVESTMENT MANAGEMENT INC.
CRD#: 18387Poughkeepsie, NY 12603TRUST BUT VERIFY
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