WW
William Weber
THRIVENT INVESTMENT MANAGEMENT
Appleton, WI 54913
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CRD#: 6644369
WW
Professional summary
William Weber, who also goes by Billy Peter Weber III, William Peter Weber III, is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Appleton, Wisconsin.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. William has worked at 2 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Billy Peter Weber Iii | William Peter Weber Iii
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.
ADVOCARE POSITION: Distributor NATURE: Sell nutritional supplements through online platform. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 11/11/2012 ADDRESS: 2009 W Kohl Dr, Appleton WI 54913, United States DESCRIPTION: Help people with nutritional goals with nutrition supplements. RENTAL PROPERTY POSITION: Owner NATURE: Digital Real Estate. I am looking to partner with a company, Champion E-Comm, to purchase digital real estate. I would purchase the digital real estate and then a company would rent the URL from me. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 09/19/2022 ADDRESS: 2009 W Kohl Drive, Appleton WI 54913, United States DESCRIPTION: All I would be doing would be investing the money to purchase the digital real estate. 100% of the work after that is taken care of by Champion E-Comm. So essentially no time required on my end. THREE NAILS CLOTHING POSITION: Ambassador NATURE: Three Nails is a clothing/apparel company, based out of Minnesota. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 11/21/2022 ADDRESS: 7101 143rd Ave NW STE H, Ramsey MN 55303, United States DESCRIPTION: I would be a brand ambassador. In this role, I would represent the company by wearing their apparel and sharing my feedback and experience with others, through social media.
CRS (Client Relationship Summary) - RIA
Click below to view William Weber's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view William Weber'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
February 17, 2020 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 2901 E Enterprise Ave, Appleton, WI 54913RIA
BD
CRD#: 18387
Appleton, WI
Current
December 19, 2019 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 2901 E Enterprise Ave, Appleton, WI 54913RIA
BD
CRD#: 18387
Appleton, WI
Past
September 12, 2016 - December 19, 2019
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
MILWAUKEE, 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
Alabama(3/6/2023)
RR
Alaska(3/16/2020)
RR
Arizona(3/12/2020)
RR
California(3/12/2020)
RR
Colorado(3/12/2020)
RR
Connecticut(10/12/2020)
RR
Florida(3/12/2020)
RR
Georgia(3/16/2020)
RR
Hawaii(3/21/2024)
RR
Idaho(8/12/2020)
RR
Illinois(3/16/2020)
RR
Indiana(10/12/2020)
RR
Iowa(3/12/2020)
RR
Kansas(11/3/2020)
RR
Kentucky(11/15/2021)
RR
Louisiana(11/3/2020)
RR
Maine(9/12/2023)
RR
Maryland(3/12/2020)
RR
Massachusetts(4/18/2023)
RR
Michigan(3/12/2020)
RR
Minnesota(3/16/2020)
RR
Mississippi(1/8/2021)
RR
Missouri(3/9/2022)
RR
Montana(10/3/2023)
RR
Nebraska(1/2/2022)
RR
Nevada(10/3/2023)
RR
New Jersey(9/12/2023)
RR
New York(3/12/2020)
RR
North Carolina(3/12/2020)
RR
North Dakota(4/18/2023)
RR
Ohio(3/13/2020)
RR
Oklahoma(10/12/2020)
IAR
Oklahoma(10/12/2020)
RR
Oregon(11/23/2022)
RR
Pennsylvania(9/21/2020)
RR
South Carolina(11/3/2020)
RR
South Dakota(11/3/2020)
RR
Tennessee(9/21/2020)
RR
Texas(8/12/2020)
IAR
Texas(8/12/2020)
RR
Utah(9/12/2023)
RR
Vermont(9/24/2021)
RR
Virginia(3/12/2020)
RR
Washington(3/12/2020)
RR
Wisconsin(12/19/2019)
IAR
Wisconsin(2/17/2020)
RR
Wyoming(9/12/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/14/2020
General Securities Representative ExaminationGeneral 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.
Company Information
THRIVENT INVESTMENT MANAGEMENT INC.
CRD#: 18387Appleton, WI 54913TRUST BUT VERIFY
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