KS
Karl J. Streufert
THRIVENT INVESTMENT MANAGEMENT
Englewood, CO 80112
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CRD#: 7322811
KS
Professional summary
Karl James Streufert is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Englewood, Colorado.
Karl is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Karl has worked at 1 firm and has passed the Series 66, Series 63, Series 7TO and SIE 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.
NICHOLAS PRODUCTIONS POSITION: Governor NATURE: For over 30 years, The Original Dickens Carolers has been Denver's premier Victorian caroling company performing along the Colorado Front Range and beyond. The ODC originally began in historic Larimer Square and has performed for corporations, private individuals and many fine shopping centers. INVESTMENT RELATED: No NUMBER OF HOURS: 35 SECURITIES TRADING HOURS: 20 START DATE: 10/01/2018 ADDRESS: 406 E Maplewood Ave, Centennial CO 80121, United States DESCRIPTION: Governor, the commanding Bass, is the man in charge. He is a proper gentleman who likes to boss the others around.Fully memorized and recognizable by their highly animated and energetic performance style, this elite, unique group is comprised entirely of professional actors and singers. Crowd pleasers such as the interactive - and surprisingly competitive - "Twelve Days of Christmas," "Jingle Bells," and 2-5-minute-long plays ("Jabeez Dawes, the Boy Who Laughed at Santa Claus," "A Visit From St. Nick," and "A Christmas Carol, abridged") showcase this group's ability to present beautifully tender moments as well as interactive humor to a wide range of Christmas holiday events. In addition to dozens of community tree lightings and private and corporate parties, the Original Dickens Carolers can be seen throughout Denver and the metropolitan area, Fort Collins, Colorado Springs and now in Salt Lake City, Utah.
CRS (Client Relationship Summary) - RIA
Click below to view Karl James Streufert's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Karl James Streufert'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
October 5, 2022 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 9137 E Mineral Cir, Englewood, CO 80112Office #2: 9250 E Costilla Ave, Greenwood Village, CO 80112RIA
BD
CRD#: 18387
Englewood, CO
Current
July 14, 2021 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 9137 E Mineral Cir, Englewood, CO 80112Office #2: 9250 E Costilla Ave, Greenwood Village, CO 80112RIA
BD
CRD#: 18387
Englewood, CO
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(8/5/2021)
IAR
Colorado(10/5/2022)
RR
Florida(12/20/2022)
RR
Iowa(9/1/2021)
RR
Minnesota(8/6/2021)
RR
Pennsylvania(5/31/2023)
RR
Utah(9/29/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 7/14/2021
General Securities Representative ExaminationGeneral 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.
