Our Staff has compiled our research into a database of FINRA Broker Disclosures for Thrivent Investment Management Inc.. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Jackie Paul Ficken | 2595821 | 1 | 12/07/1977 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William Delta Smith | 2370951 | 1 | 10/31/1976 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Charles Edward Cappel | 5963499 | 1 | 11/01/1971 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Nancy Wallace Nolley | 4425658 | 1 | 09/10/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |