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Current Employers
Thrivent Investment Management Inc.

600 Portland Avenue South, Minneapolis, MN 55415 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2026-01-02
NY RA APPROVED 2023-10-13
  • TX RA
    APPROVED_RES
    Since 2026-01-02
  • NY RA
    APPROVED
    Since 2023-10-13

Branch Locations

3418 Carman Rd, Schenectady, NY 12303 • United States

Schenectady, NY • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
The Vanguard Group, Inc Malvern PA 05/2020 07/2020
The Vanguard Group, Inc Malvern PA 06/2021 10/2023
Pinehaven Country Club Guilderland NY 09/2015 08/2017
Pinehaven Country Club Guilderland NY 05/2018 08/2018
Atsco Albany NY 12/2018 01/2019
Pinehaven Country Club Guilderland NY 05/2019 08/2019
Axa Advisors Clifton Park NY 06/2019 08/2019
Tropical Smoothie Cafe Philadelphia PA 10/2019 11/2019
Maynard, O'COnnor, Smith & Catalinotto Llp Albany NY 12/2019 01/2020
Pinehaven Country Club Guilderland NY 04/2020 08/2020
Temple University Philadelphia PA 08/2017 05/2021
Guilderland High School Guilderland Center NY 09/2013 06/2017
Thrivent Investment Management Inc Schenectady NY 10/2023 Present
Thrivent Financial Appleton WI 10/2023 01/2024
Thrivent Financial Appleton WI 01/2024 Present
  • 05/2020 → 07/2020
    The Vanguard Group, Inc
    Malvern, PA
  • 06/2021 → 10/2023
    The Vanguard Group, Inc
    Malvern, PA
  • 09/2015 → 08/2017
    Pinehaven Country Club
    Guilderland, NY
  • 05/2018 → 08/2018
    Pinehaven Country Club
    Guilderland, NY
  • 12/2018 → 01/2019
    Atsco
    Albany, NY
  • 05/2019 → 08/2019
    Pinehaven Country Club
    Guilderland, NY
  • 06/2019 → 08/2019
    Axa Advisors
    Clifton Park, NY
  • 10/2019 → 11/2019
    Tropical Smoothie Cafe
    Philadelphia, PA
  • 12/2019 → 01/2020
    Maynard, O'COnnor, Smith & Catalinotto Llp
    Albany, NY
  • 04/2020 → 08/2020
    Pinehaven Country Club
    Guilderland, NY
  • 08/2017 → 05/2021
    Temple University
    Philadelphia, PA
  • 09/2013 → 06/2017
    Guilderland High School
    Guilderland Center, NY
  • 10/2023 → Present
    Schenectady, NY
  • 10/2023 → 01/2024
    Thrivent Financial
    Appleton, WI
  • 01/2024 → Present
    Thrivent Financial
    Appleton, WI
Previous Registrations
Other Businesses

JOAN NICOLE PRINCE HOME POSITION: Board of Directors NATURE: The Joan Nicole Prince Home (JNP) is a 501(c)(3) non-profit that provides bedside care to two terminally ill individuals at the end of life, free of charge. Our Home is run independently under Schenectady Community Home Inc., we are not a medical facility, but aim to provide an alternative treatment setting for individuals in their final days. Our Home provides bedside care in a home-like environment, with individual bedrooms, bathrooms, a laundry room, a kitchen, a living room, and a spacious backyard. In addition to services provided by the local Hospice Organization, trained volunteers and staff provide 24/7 personal bedside care to residents. Volunteers also complete basic everyday tasks such as laundry, meal preparation, and cleaning, all while becoming "surrogate families" and providing emotional support to residents and their loved ones. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 06/02/2025 ADDRESS: 22 Glenview Drive, Scotia NY 12302, United States DESCRIPTION: Establish policies and procedures that supports the home's mission and financial well being ensure continued viability and success of the home Ensure all actions of the board, officers, staff and volunteers conform to the home's guidelines and policies Act as an ambassador and advocate for the organization serve as a trusted advisor for the executive director as they implement the strategic plan

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-08-09
  • S66 Uniform Combined State Law Examination
    2021-08-09
Other Names
  • Steven Richard Warren
  • Steve Richard Warren
  • Steven Warren
  • Steve Warren

View on SEC IAPD

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