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 |
|---|---|---|---|---|---|---|---|---|
| Steven David Esala | 1583703 | 1 | 08/08/2008 | Customer Dispute | Denied | $10,060.00 | $0.00 | See FINRA Report |
| Terry James Niedfeldt | 1663069 | 1 | 08/07/2008 | Customer Dispute | Closed-No Action | $24,000.00 | $0.00 | See FINRA Report |
| Robert Jeffrey Crane | 2287073 | 1 | 08/01/2008 | Customer Dispute | Closed-No Action | $12,800.00 | $0.00 | See FINRA Report |
| William John O'Doherty | 4519926 | 1 | 07/02/2008 | Customer Dispute | Settled | $15,500.00 | $0.00 | See FINRA Report |
| Katheryn Drexel Higgins | 4754915 | 1 | 06/24/2008 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Charles Ray Lodriguss | 1651143 | 3 | 06/09/2008 | Customer Dispute | Denied | $71,496.30 | $0.00 | See FINRA Report |
| Jeffrey Clark Kolzow | 2442318 | 1 | 06/09/2008 | Customer Dispute | Closed-No Action | $7,500.00 | $0.00 | See FINRA Report |
| Elizabeth Reynolds Tweed | 3274589 | 1 | 04/23/2008 | Customer Dispute | Settled | $180,000.00 | $0.00 | See FINRA Report |
| Keith William Sippola | 2834633 | 1 | 03/28/2008 | Customer Dispute | Closed-No Action | $9,050.00 | $0.00 | See FINRA Report |
| Jaime Scott Stantz | 5131229 | 1 | 03/27/2008 | Customer Dispute | Closed-No Action | $36,861.40 | $0.00 | See FINRA Report |