RP
Ramiro Paz
THRIVENT INVESTMENT MANAGEMENT
WEST BEND, WI 53090
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CRD#: 6493139
RP
Professional summary
Ramiro Paz is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in West Bend, Wisconsin.
Ramiro is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Ramiro has worked at 1 firm and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
VOLUNTEER CENTER OF WASHINGTON COUNTY POSITION: Board Member NATURE: Mission is to inspire, engage, and empower people to volunteer and make a positive impact in our communities. Vision is every person discovers the power to make a difference through volunteerism, improving their own lives as well as the people who are served in our communities. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 1 START DATE: 11/01/2024 ADDRESS: 303 Water St, West Bend WI 53095, United States DESCRIPTION: Attend board, strategy and committee meetings. Attend fundraisers and other activities. Share my time, energy and focus on assisting with the oversight of the organization's resources and guardian of its mission and values. KETTLE MORAINE LUTHERAN JUNIOR CHARGER POSITION: Director Emeritus NATURE: Junior Chargers Athletics operate under several core "pillars" which are meant to provide an intentional operational structure for the program and participants. Program structured to provide exceptional intellectual, emotional, physical, and spiritual growth opportunities for participating grade school youth. Programled by servant-leader Christian director and coaches. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 11/01/2021 ADDRESS: 3399 Division Road, Jackson WI 53037, United States DESCRIPTION: Assist new Program Director in all of my past duties as Director. KETTLE MORAINE YMCA POSITION: Board & Committee Member NATURE: The Kettle Moraine YMCA is a nonprofit organization whose mission is to put Christian principles into practice through programs that build healthy spirit, mind, and body for all. INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 1 START DATE: 03/28/2019 ADDRESS: 1111 West Washington Street, West Bend WI 53095, United States DESCRIPTION: To share my time, energy and focus on strengthening our communities through assisting with the oversight of the organization's resources and guardian of its mission. I will be attending board and committee meetings, helping invite people and planning certain events and fundraisers. VILLAGE OF JACKSON POSITION: Poll Worker NATURE: Elections Worker - Learn and assist as needed to ensure we have accurate, efficient, and accessible elections. INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 2 START DATE: 02/05/2024 ADDRESS: N168 W19851 Main Street, Jackson WI 53037, United States DESCRIPTION: Sworn election official who takes oath of office and receive trainings with the purpose of ensuring voting goes smoothly on Election Day and all eligible voters can cast a ballot. My plan is to only assist with bigger elections that more staff is needed by the Village of Jackson.
CRS (Client Relationship Summary) - RIA
Click below to view Ramiro Paz's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Ramiro Paz'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
September 1, 2015 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 411 North River Road, West Bend, WI 53090RIA
BD
CRD#: 18387
WEST BEND, WI
Current
August 31, 2015 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 411 North River Road, West Bend, WI 53090RIA
BD
CRD#: 18387
WEST BEND, 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
Georgia(11/22/2024)
RR
Illinois(11/22/2024)
RR
Missouri(10/18/2023)
RR
Wisconsin(9/1/2015)
IAR
Wisconsin(9/1/2015)
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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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
THRIVENT INVESTMENT MANAGEMENT INC.
CRD#: 18387West Bend, WI 53090TRUST BUT VERIFY
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