DC
David Z. Cauble
THRIVENT INVESTMENT MANAGEMENT
Atlanta, GA 30339
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CRD#: 7726594
DC
Professional summary
David Zimri Cauble IV, who also goes by David Zimri Cauble, is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Atlanta, Georgia.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2023. David has worked at 1 firm and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
David Zimri Cauble
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.
FREELANCE POSITION: Nonprofit Consultant NATURE: Nonprofit consulting for various nonprofit organizations through a variety of activities including: strategic planning, research, project proposals, and project management. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2010 ADDRESS: 408 Mt. Vernon Trace, Peachtree City GA 30269, United States DESCRIPTION: Nonprofit consulting for various nonprofit organizations through a variety of activities including: strategic planning, research, project proposals, and project management. GEORGE S. & EDNA L. COBB FOUNDATION POSITION: Board Member NATURE: The George S & Edna L Cobb Foundation is a private foundation located in Columbus, GA that primarily funds general charitable purposes, including the Cobb Memorial Archives and other organizations. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2022 ADDRESS: PO Box 23024, Columbus GA 23024, United States DESCRIPTION: Cobb Foundation Board Members, attendan annual board meetings to vote on grants, participate in strategic conversations of the Foundation, and continue the work of the foundation. RENTAL PROPERTY POSITION: Property Rental NATURE: Rental property collecting monthly rent payments. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2010 ADDRESS: 408 Mt. Vernon Tr, Peachtree City GA 30269, United States DESCRIPTION: Manage rental property maintenance and collect monthly rent. CALLAWAY FOUNDATION, INC. POSITION: Trustee NATURE: The Callaway Foundation, Inc. supports initiatives and organizations that benefit the people in LaGrange and Troup County, GA. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 4 START DATE: 04/01/2018 ADDRESS: 209 Broome St, LaGrange GA 30240, United States DESCRIPTION: Attend quarterly board meetings to vote on grants, participate in strategic conversations of the Foundation, and continue the work of the foundation. FULLER E. CALLAWAY FOUNDATION POSITION: Trustee NATURE: The Fuller E. Callaway Foundationsupports initiatives and organizations that benefit the people in LaGrange and Troup County, GA. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 04/01/2018 ADDRESS: 209 Broome Street, LaGrange GA 30240, United States DESCRIPTION: Callaway Foundation, Inc trustees, attend quarterly board meetings to vote on grants, participate in strategic conversations of the Foundation, and continue the work of the foundation. LAGRANGE COLLEGE POSITION: Board Member NATURE: LaGrange College is a private liberal arts college in LaGrange, Georgia. It is affiliated with the United Methodist Church and offers more than 55 academic and pre-professional programs, including graduate and undergraduate degrees. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 07/01/2024 ADDRESS: 601 Broad Street, LaGrange GA 30240, United States DESCRIPTION: Attend and engage in board and committee meetings.
CRS (Client Relationship Summary) - RIA
Click below to view David Zimri Cauble IV's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David Zimri Cauble IV'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
August 7, 2023 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 200 Galleria Pkwy Se, Atlanta, GA 30339RIA
BD
CRD#: 18387
Atlanta, GA
Current
July 13, 2023 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 200 Galleria Pkwy Se, Atlanta, GA 30339RIA
BD
CRD#: 18387
Atlanta, GA
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(4/29/2024)
RR
California(3/18/2025)
RR
Florida(8/18/2023)
RR
Georgia(8/4/2023)
IAR
Georgia(8/7/2023)
RR
Illinois(9/18/2025)
RR
Maryland(3/18/2025)
RR
Michigan(11/19/2024)
RR
Minnesota(9/18/2025)
RR
Nevada(2/13/2025)
RR
New York(3/18/2025)
RR
North Carolina(10/20/2025)
RR
Ohio(9/19/2025)
RR
Oregon(8/7/2024)
RR
Pennsylvania(3/14/2025)
RR
South Carolina(8/21/2023)
RR
Tennessee(8/21/2023)
RR
Texas(3/14/2025)
IAR
Texas(3/14/2025)
RR
Wisconsin(9/18/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 7/13/2023
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.
