SZ
Steven A. Zeinemann
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CRD#: 5768903
SZ
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Steven A Zeinemann was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 2010. Steven had worked at 1 firm and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
ZION LUTHERAN CHURCH - CHURCH COUNCIL POSITION: President of the congregation NATURE: The church council has oversight responsibilities for the congregation. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/22/2019 ADDRESS: 709 N. 6th St., Wausau WI 54403, United States DESCRIPTION: As president of the church council I will preside over the meetings of the congregation. I am not involved in any financial investment decisions. Should one arise, I will recuse myself from the vote and have my abstaining vote documented in the minutes. UNITED WAY OF MARATHON COUNTY POSITION: Retire United Steering Committee Member NATURE: The mission of United Way is to unite people and organizations in Marathon County to build a stronger community and strategically invest in education, financial stability and health priorities to improve lives now and into the future. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/08/2019 ADDRESS: 705 S. 24th Ave., Ste.400B, Wausau WI 54401, United States DESCRIPTION: United Way is starting up a new organization called Retire United. This group will be charged with developing programs to keep United Way supporters active with the organization once they retire from their job. My duties will be to help organize this group and promote participation once it is officially ready. CONNEXUS CREDIT UNION POSITION: Member of Board of Directors NATURE: MEMBER OFTHE CONNEXUS CREDIT UNION BOARD OF DIRECTORS. START DATE:5/1996. LOCATED AT: 1 Corporate Drive, Suite 700, WAUSAU, WI 54401. AS A MEMBER OF THE BOARD, THE DUTIES OF THE BOARD are TO PROVIDE OVERSIGHT AND LEAVE THE DAY TO DAY OPERATIONS TO THE MANAGEMENT TEAM. Meetings are held after trading hours and on weekends INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 1 START DATE: 05/01/1996 ADDRESS: 2600 Pine Ridge Blvd, Wausau WI 54401, United States DESCRIPTION: Provide oversight and leave the day to day operations to the management ream KDA DEVELOPMENT, LLC POSITION: Partner NATURE: We use the LLC to pay our business expenses. There is no other business activity that takes place under this entity. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 10/04/2013 ADDRESS: 10208 Park Plaza - Suite D, Rothschild WI 54474-7910, United States DESCRIPTION: Pay staff and cover operating expenses.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
June 18, 2014 - December 31, 2022
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
CRD#: 18387
Rothschild, WI
Past
May 13, 2010 - December 31, 2022
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
Rothschild, 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.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
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.
