EO
Elizabeth M. Oestreich
THRIVENT INVESTMENT MANAGEMENT
Wausau, WI 54401
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CRD#: 7360353
EO
Professional summary
Elizabeth Marie Oestreich, who also goes by Elizabeth Marie Cross, Beth Oestreich, is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Wausau, Wisconsin.
Elizabeth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Elizabeth has worked at 1 firm and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Elizabeth Marie Cross | Beth Oestreich
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.
WI INTERSCHOLASTIC CYCLING LEAGUE ROVER POSITION: Rover NATURE: WI Interscholastic Cycling League is a chapter of NICA (National Interscholastic Cycling Association). NIICA develops interscholastic mountain biking programs for student-athletes across the United States. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 09/04/2022 ADDRESS: 8675 Rolling Hill Road, Custer WI 54423, United States DESCRIPTION: A rover is an adult with a current NICA coaching license who is a support and sweeper who rides their bike at the back of a group of student mountain bike racers. The rovers duties are to encourage good sportsmanship, assist with bike mechanical issues, and to radio in any medical needs. WISCONSIN SOCCER REFEREE DEVELOPMENT PROGRAM POSITION: Youth soccer referee NATURE: The organization provides training for Wisconsin grassroots soccer referees. The goal is to train enough refs to provide refs for quality youth soccer games statewide.The mission is: Register-Instruct-Mentor-Assign Referees, all according to the policies & procedures of the United States Soccer Federation. INVESTMENT RELATED: No NUMBER OF HOURS: 6 SECURITIES TRADING HOURS: 0 START DATE: 07/08/2024 ADDRESS: 2311 Silver Fox Court, Waukesha WI 53188, United States DESCRIPTION: Enforcing the laws of the soccer game and helping to provide youth with a safe environment to play soccer.
CRS (Client Relationship Summary) - RIA
Click below to view Elizabeth Marie Oestreich's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Elizabeth Marie Oestreich'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 9, 2021 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 3506 Stewart Ave, Wausau, WI 54401RIA
BD
CRD#: 18387
Wausau, WI
Current
August 18, 2021 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 3506 Stewart Ave, Wausau, WI 54401RIA
BD
CRD#: 18387
Wausau, 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
Minnesota(9/17/2021)
RR
Wisconsin(9/9/2021)
IAR
Wisconsin(9/9/2021)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 8/18/2021
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.
