AS
Alec E. Schutz
THRIVENT INVESTMENT MANAGEMENT
Janesville, WI 53546
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CRD#: 7483500
AS
Professional summary
Alec Eli Schutz is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Janesville, Wisconsin.
Alec is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Alec has worked at 3 firms and has passed the Series 66, 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.
VFW POST 2708 POSITION: Bugler NATURE: This organization is focused around community involvement centered around veterans and their families. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 02/01/2022 ADDRESS: PO Box 345, Edgerton WI 53534, United States DESCRIPTION: I participate in the Honor Guard as a bugler. I play taps for military funerals and when asked to play for events such as Memorial Day or Veterans Day. HOPE LUTHERAN CHURCH POSITION: Evangelism Committee Head NATURE: Find positive ways to impact our community while upholding and teaching Christian values. Bring people together to worship and learn how to be closer to God. INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2024 ADDRESS: 335 Dairyland Drive, Milton WI 53563, United States DESCRIPTION: Organize a group within the church to brainstorm ways to impact more people with what we are doing at church. UBER POSITION: Driver NATURE: Providing transportation solutions to people. INVESTMENT RELATED: No NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 0 START DATE: 12/30/2017 ADDRESS: 36 Second Street, Miltion WI 53563, United States DESCRIPTION: I am responsible for transporting thepassengers to their destination safely in my personal vehicle.
CRS (Client Relationship Summary) - RIA
Click below to view Alec Eli Schutz's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Alec Eli Schutz'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
December 8, 2023 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 3447 Mt Zion Ave, Janesville, WI 53546Office #3: 1 Parker Place, Janesville, WI 53545RIA
BD
CRD#: 18387
Janesville, WI
Current
December 8, 2023 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 3447 Mt Zion Ave, Janesville, WI 53546Office #2: 1 Parker Place, Janesville, WI 53545RIA
BD
CRD#: 18387
Janesville, WI
Past
June 29, 2023 - December 8, 2023
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
MADISON, WI
Past
February 28, 2023 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
MADISON, WI
Past
October 25, 2022 - December 8, 2023
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
MADISON, 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
Illinois(2/14/2024)
RR
Nebraska(8/20/2025)
RR
Wisconsin(12/8/2023)
IAR
Wisconsin(12/8/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 10/25/2022
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.
