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 |
|---|---|---|---|---|---|---|---|---|
| Adrienne Elizabeth Rowles | 3073899 | 3 | 11/30/2022 | Customer Dispute | Pending | $95,385.00 | $0.00 | See FINRA Report |
| Michael Gregory Shackel | 4157324 | 1 | 10/31/2022 | Customer Dispute | Denied | $185,075.00 | $0.00 | See FINRA Report |
| Nathan C Jones | 6975561 | 1 | 08/23/2022 | Customer Dispute | Closed-No Action | $5,579.51 | $0.00 | See FINRA Report |
| Jerald J Haerle | 5439661 | 1 | 06/14/2022 | Customer Dispute | Pending | $23,548.90 | $0.00 | See FINRA Report |
| Steven Craig Simons | 6532156 | 1 | 06/13/2022 | Customer Dispute | Settled | $40,246.90 | $0.00 | See FINRA Report |
| Gerald David Roth | 2305016 | 1 | 05/09/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jacob Henry Baker | 6979274 | 1 | 04/07/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Steven Charles Patterson | 5377948 | 2 | 03/17/2022 | Customer Dispute | Denied | $5,288.60 | $0.00 | See FINRA Report |
| James Richmond Shuttleworth | 2238199 | 2 | 03/09/2022 | Customer Dispute | Settled | $11,340.00 | $0.00 | See FINRA Report |
| Bradley Paul Markwell | 4519631 | 3 | 03/01/2022 | Customer Dispute | Denied | $7,311.98 | $0.00 | See FINRA Report |