SJ
Sheila R. Johnson
THRIVENT INVESTMENT MANAGEMENT
Ogallala, NE 69153
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CRD#: 6084105
SJ
Professional summary
Sheila Rae Johnson, who also goes by Sheila Rae Cico, Sheila Rae Grimes, is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Ogallala, Nebraska.
Sheila is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Sheila has worked at 1 firm and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Sheila Rae Cico | Sheila Rae Grimes
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.
NORTH PLATTE MUNICIPAL BAND POSITION: BAND MEMBER NATURE: THE CITY OF NORTH PLATTE SPONSORS CONCERTS EACH FRIDAY EVENING IN CODY PARK. I AM A MEMBER OF THE BAND THAT PLAYS THESE CONCERTS. WE ARE PAID A SMALL AMOUNT TO HELP DEFRAY MILEAGE EXPENSES. THERE ARE 5 CONCERTS THAT I WILL BE ABLE TO ATTEND. INVESTMENT RELATED: NO NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 06/19/2015 ADDRESS: 211 W 3RD, NORTH PLATTE NE 69101 DESCRIPTION: REHEARSALS TAKE PLACE ON TUESDAY EVENINGS BUT I USUALLY MISS THEM. I AM RESPONSIBLE FOR BEING ABLE TO PLAY THE MUSIC FOR EACH CONCERT, AND SETTING UP MY OWN EQUIPMENT. THESE ONLY GO DURING THE SUMMER MONTHS. OCCASIONAL JUDGING OF MUSICAL COMPETITIONS POSITION: Guest judge and clinician NATURE: Judging High School music contests INVESTMENT RELATED: No NUMBER OF HOURS: 12 SECURITIES TRADING HOURS: 10 START DATE: 03/21/2017 ADDRESS: 740 Sherman, Grant NE 69140 DESCRIPTION: I will be a guest judge at 2 area high schools for their competitions. One is for a conference competition and one is for a district competition. NORTH PLATTE COMMUNITY PLAYHOUSE POSITION: Pit musician NATURE: I play in a group that provides the background music for musicals. INVESTMENT RELATED: No NUMBER OF HOURS: 35 SECURITIES TRADING HOURS: 0 START DATE: 11/15/2019 ADDRESS: 301 E 5th St., North Platte NE 69151, United States DESCRIPTION: I am a musician in the pit orchestra for 1 or 2 performances each year. These are simply for fun but this year they said we are going to get paid. I tried to say I want to stay volunteer and was told that if I don't take pay then they can't pay anyone. So I will be paid.
CRS (Client Relationship Summary) - RIA
Click below to view Sheila Rae Johnson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Sheila Rae Johnson'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
August 6, 2013 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 123 N Spruce St, Ogallala, NE 69153RIA
BD
CRD#: 18387
Ogallala, NE
Current
July 2, 2013 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 123 N Spruce St, Ogallala, NE 69153RIA
BD
CRD#: 18387
Ogallala, NE
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
Colorado(10/15/2013)
RR
Hawaii(4/17/2025)
RR
Kansas(4/18/2016)
RR
Missouri(10/20/2022)
RR
Nebraska(7/31/2013)
IAR
Nebraska(8/6/2013)
RR
South Dakota(8/8/2013)
RR
Texas(8/15/2014)
IAR
Texas(8/15/2014)
RR
Wyoming(8/29/2018)
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.
