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 |
|---|---|---|---|---|---|---|---|---|
| Constance Carol Waisanen | 5134360 | 2 | 04/15/2014 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Lance Gerald Kroesch | 4170614 | 1 | 04/14/2014 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Cris Alan Moore | 2148421 | 1 | 03/26/2014 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Daniel Mitchell Myers | 4666731 | 1 | 02/17/2014 | Customer Dispute | Closed-No Action | $50,000.00 | $0.00 | See FINRA Report |
| Constance Carol Waisanen | 5134360 | 2 | 02/13/2014 | Customer Dispute | Settled | $5,161.00 | $0.00 | See FINRA Report |
| Philip Lee Maass | 4945427 | 1 | 01/17/2014 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Charles Ray Lodriguss | 1651143 | 3 | 12/16/2013 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Richard David Wolf | 1014251 | 2 | 12/11/2013 | Customer Dispute | Settled | $6,514.17 | $0.00 | See FINRA Report |
| Keith David Stark | 5660661 | 2 | 05/08/2013 | Customer Dispute | Settled | $6,111.11 | $0.00 | See FINRA Report |
| Steven Charles Patterson | 5377948 | 2 | 05/01/2013 | Customer Dispute | Denied | $25,383.20 | $0.00 | See FINRA Report |