MF
Mercedes Fonte
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CRD#: 6530590
MF
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.
Mercedes Fonte, who also goes by Mercedes Fonte, Mercedes F Gilbert, Mercedes Fonte Gilbert, Mercedes Fonte Gilbert, was a registered financial professional .
Mercedes is a previously registered financial professional and started their career in finance in 2015. Mercedes had worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Mercedes Fonte | Mercedes F Gilbert | Mercedes Fonte Gilbert | Mercedes Fonte Gilbert
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.
RENTAL PROPERTY POSITION: Owner NATURE: Rental property I own and collect monthly income in the form of rent. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 03/05/2021 ADDRESS: 4246 Raffia Preserve way, Naples FL 34119, United States DESCRIPTION: Own home and rent to individual GROW NEBRASKA WOMEN'S BUSINESS CENTER POSITION: Board Member NATURE: TheGNWBCisa nonprofit organization that educates and supports entrepreneurs in their pursuit of successful business ownership, through education and connections to resources for sustainable growth and development. We'rededicated to being a bridge between Nebraska entrepreneurs and their dreams of success. INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 03/15/2023 ADDRESS: 5190 Sprague Plaza, Ste 216, Omaha NE 68104, United States DESCRIPTION: As an Advisory Board Member you'll be asked to help connect GNWBC to other community resources and funding opportunities as well as help provide wisdom and guidance for the GNWBC Executive Director INDOOR GOLF OMAHA, LLC POSITION: Owner, Franchisee NATURE: The Back Nine Indoor Golf Training facility- Customers are membership based similar to a fitness gym and they use the facilityto strengthen golf game and network. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 02/15/2024 ADDRESS: 4717 N 187th St, Elkhorn NE 68022, United States DESCRIPTION: This business will be owned by me and operated by my domestic partner. LATINO ECONOMIC DEVELOPMENT COUNCIL POSITION: Steering Commitee Member NATURE: Empowering our Community, Building a StrongerFuture for Latino businesses in Omaha through education and advocacy. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/31/2024 ADDRESS: 4018 L Street, Omaha NE 68107, United States DESCRIPTION: EXPECTATIONSServe as ambassador, advocate, and supporterCommit to one yearAttend the majority of the steering committee meetings and participate in an annual strategic retreatContribute $100 in annual dues (This will be a personal contribution and not paid for by Thrivent) GROW NEBRASKA POSITION: Board Member NATURE: GROW Nebraska Foundation serves over 400 Nebraska businesses with an annual budget close to $1 million. We provide training to over 850 businesses yearly and annually host the premier Midwest Marketing gathering conference, MarkeTech.Giving back to Nebraska businesses has always been the core of GROW Nebraska. "Marketing" is listed as one of the biggest obstacles for small businesses. GROW Nebraska is committed to helping individuals and small business owners in Nebraska expand their marketing knowledge and reach through training, one-on-one technical assistance, and online marketing platforms. Our Kearney, NE brick-and-mortar store is used to market test and launch new products. Every purchase benefits a Nebraska business! INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 04/01/2024 ADDRESS: 421 W Taimadge Rd #1, Kearney NE 68845, United States DESCRIPTION: The board of directors for the GROW Nebraska is the governing board for the GROW Nebraska programs and GNWBC
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
February 28, 2022 - July 25, 2024
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
CRD#: 18387
OMAHA, NE
Past
February 21, 2022 - July 25, 2024
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
OMAHA, NE
Past
December 4, 2020 - February 18, 2022
MORGAN STANLEY
RIA
CRD#: 149777
Naples, FL
Past
December 4, 2020 - February 18, 2022
MORGAN STANLEY
BD
CRD#: 149777
Naples, FL
Past
October 9, 2015 - December 7, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
NAPLES, FL
Past
August 24, 2015 - December 7, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NAPLES, FL
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
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.
