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 |
|---|---|---|---|---|---|---|---|---|
| Todd Arthur Trautmann | 3164848 | 1 | 11/30/2023 | Customer Dispute | Denied | $40,000.00 | $0.00 | See FINRA Report |
| Benjamin Bradley Eastman | 6632057 | 1 | 07/03/2023 | Customer Dispute | Denied | $10,081.50 | $0.00 | See FINRA Report |
| Tracy D Boorman | 2566721 | 1 | 07/03/2023 | Customer Dispute | Denied | $48,063.40 | $0.00 | See FINRA Report |
| Kevin Gerald Gleim | 1590525 | 1 | 06/27/2023 | Customer Dispute | Denied | $22,450.00 | $0.00 | See FINRA Report |
| Barry Brian Hesse | 2652246 | 1 | 06/16/2023 | Customer Dispute | Denied | $116,340.00 | $0.00 | See FINRA Report |
| James P Moore | 6388133 | 1 | 05/01/2023 | Customer Dispute | Denied | $6,434.00 | $0.00 | See FINRA Report |
| Kimberly Sue Dwyer | 6642582 | 2 | 04/19/2023 | Customer Dispute | Denied | $65,267.90 | $0.00 | See FINRA Report |
| Michael Gregory Shackel | 4157324 | 1 | 10/31/2022 | Customer Dispute | Denied | $185,075.00 | $0.00 | See FINRA Report |
| Steven Charles Patterson | 5377948 | 2 | 03/17/2022 | Customer Dispute | Denied | $5,288.60 | $0.00 | See FINRA Report |
| Bradley Paul Markwell | 4519631 | 3 | 03/01/2022 | Customer Dispute | Denied | $7,311.98 | $0.00 | See FINRA Report |