Steven Richard Warren
Investment Adviser Representative at Thrivent Investment Management Inc.
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Steven Richard Warren is an investment adviser representative with Thrivent Investment Management Inc. in Schenectady, NY, where they have been registered since 2023. They have worked in the securities industry since 2021 and were previously registered with Vanguard Advisers, Inc. They have passed 3 industry qualification exams, including the Series 66 (combined investment adviser and state securities agent) and Series 7 (general securities representative). They are registered to provide investment advice in New York and Texas.
Office
Advisors at this office: 7
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- New York, Texas
- Broker:
23 states and territories
Arizona, Colorado, Connecticut, Delaware, Florida, Kansas, Maine, Maryland, Massachusetts, Nevada, New Hampshire, New Jersey, New York, North Carolina, Ohio, Oregon, Pennsylvania, Rhode Island, Texas, Vermont, Virginia, Washington, Wisconsin
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- The Vanguard Group, IncMay 2020 – Jul 2020Malvern, PA
- The Vanguard Group, IncJun 2021 – Oct 2023Malvern, PA
- Pinehaven Country ClubSep 2015 – Aug 2017Guilderland, NY
- Pinehaven Country ClubMay 2018 – Aug 2018Guilderland, NY
- AtscoDec 2018 – Jan 2019Albany, NY
- Pinehaven Country ClubMay 2019 – Aug 2019Guilderland, NY
- Axa AdvisorsJun 2019 – Aug 2019Clifton Park, NY
- Tropical Smoothie CafeOct 2019 – Nov 2019Philadelphia, PA
- Maynard, O'Connor, Smith & Catalinotto LlpDec 2019 – Jan 2020Albany, NY
- Pinehaven Country ClubApr 2020 – Aug 2020Guilderland, NY
- Temple UniversityAug 2017 – May 2021Philadelphia, PA
- Guilderland High SchoolSep 2013 – Jun 2017Guilderland Center, NY
- Thrivent Investment Management IncOct 2023 – no end date reportedAlbany, NY
- Thrivent FinancialOct 2023 – Jan 2024Appleton, WI
- Thrivent FinancialJan 2024 – no end date reportedAppleton, WI
Official records & sources
Data as of June 28, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Thrivent Investment Management Inc.
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Fixed fee
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$5B–$25B
- Firm disclosures (Form ADV)
- Disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 3,163
- Offices listed on AdvisorFinder:
- 26
- Main office:
- Minneapolis, MN
- SEC file number:
- 801-29618
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of September 30, 2026
View full firm profileOther advisors at Thrivent Investment Management Inc.
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Steven Richard Warren has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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