WD
William Diederich
THRIVENT INVESTMENT MANAGEMENT
Omaha, NE 68144
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CRD#: 6678396
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Professional summary
William Diederich is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Omaha, Nebraska.
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 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.
JUST IN TIME FLOORING, INC. POSITION: Consultant NATURE: Flooring and tile installation in residential homes. INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 5 START DATE: 03/09/2016 ADDRESS: 7910 S 162nd Ave, Omaha NE 68136, United States DESCRIPTION: Consult with business owner on business direction and business decisions. Assist owner with bidding, billing, and meeting with builders. I also provide labor when necessary. SANTA LUCIA FESTIVAL COMMITTEE POSITION: Treasurer and Board of Director NATURE: It is a non-profit focused on continuing the Catholic, Italian traditionsofthe Sicilian immigrants who came to Omaha, NE. Specifically, the committee exists to host an annual festival honoring Saint Lucy, as is tradition in Carlentini, Sicily. All profits from the festival go back into hosting the festival the following year. INVESTMENT RELATED: No NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 1 START DATE: 10/06/2021 ADDRESS: 713 Pierce St, Omaha NE 68108, United States DESCRIPTION: Maintain accurate and complete books and records of all receipts, disbursements, assets, liabilities, and financial transactions of the SLFC Cause to be deposited all monies, securities, and other valuable effects of the SLFC in such depositoriesas the Board will authorize and direct Issue and sign checks upon receipt of the proper order of payment within thirty (30) days of receiving such order of payment - Two signatures required Ensure that the books and records of the SLFC are available, upon request by any Active MemberBoard of Director - The business and affairs of the SLFC shall be managed under the direction of the Board of Directors. The Board of Directors shall have full power to act on behalf of the SLFC as permitted by the statutes of the State of Nebraska, the Articles, and the by-laws, as may be amended from time to time.
CRS (Client Relationship Summary) - RIA
Click below to view William Diederich's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view William Diederich'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 2, 2016 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 11602 W Center Rd, Omaha, NE 68144RIA
BD
CRD#: 18387
Omaha, NE
Current
August 15, 2016 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 11602 W Center Rd, Omaha, NE 68144RIA
BD
CRD#: 18387
Omaha, 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
Florida(1/8/2020)
RR
Iowa(9/8/2016)
RR
Kansas(10/5/2021)
RR
Minnesota(9/8/2016)
RR
Missouri(7/25/2024)
RR
Nebraska(9/2/2016)
IAR
Nebraska(9/2/2016)
RR
North Carolina(6/25/2024)
RR
Pennsylvania(5/18/2018)
RR
South Dakota(3/22/2018)
RR
Texas(6/30/2020)
IAR
Texas(6/30/2020)
RR
Virginia(2/10/2025)
RR
Washington(9/4/2024)
RR
Wisconsin(6/30/2020)
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#: 18387Omaha, NE 68144TRUST BUT VERIFY
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