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 |
|---|---|---|---|---|---|---|---|---|
| Paul Harris Yancy | 4245531 | 1 | 06/09/2003 | Customer Dispute | Closed-No Action | $70,000.00 | $0.00 | See FINRA Report |
| Troy Fredric Keesling | 3171931 | 1 | 05/19/2003 | Customer Dispute | Denied | $9,328.15 | $0.00 | See FINRA Report |
| Daniel Allen Bacon | 2315451 | 1 | 01/30/2003 | Customer Dispute | Settled | $65,000.00 | $0.00 | See FINRA Report |
| Charles Allen Beatty | 1392341 | 1 | 12/06/2002 | Customer Dispute | Settled | $21,977.00 | $0.00 | See FINRA Report |
| Adrienne Elizabeth Rowles | 3073899 | 3 | 10/04/2001 | Customer Dispute | Denied | $15,031.00 | $0.00 | See FINRA Report |
| John E Maki | 2282599 | 1 | 07/05/2001 | Customer Dispute | Settled | $13,550.00 | $0.00 | See FINRA Report |
| Thomas Joseph Ventura | 2340720 | 1 | 08/31/2000 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Thomas Henry Hussian | 2410699 | 1 | 12/11/1995 | Customer Dispute | Settled | $44,590.00 | $0.00 | See FINRA Report |