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 |
|---|---|---|---|---|---|---|---|---|
| Harold Thomas Leonard | 5309477 | 1 | 11/21/2008 | Customer Dispute | Denied | $7,823.81 | $0.00 | See FINRA Report |
| William Edwin Lagrange | 4401859 | 3 | 10/28/2008 | Customer Dispute | Denied | $66,521.80 | $0.00 | See FINRA Report |
| Ronald Edward Kovac | 1410539 | 1 | 10/06/2008 | Customer Dispute | Denied | $8,667.44 | $0.00 | See FINRA Report |
| Steven David Esala | 1583703 | 1 | 08/08/2008 | Customer Dispute | Denied | $10,060.00 | $0.00 | See FINRA Report |
| Charles Ray Lodriguss | 1651143 | 3 | 06/09/2008 | Customer Dispute | Denied | $71,496.30 | $0.00 | See FINRA Report |
| George Robert Regas | 2476837 | 1 | 03/04/2008 | Customer Dispute | Denied | $30,400.00 | $0.00 | See FINRA Report |
| Michael Edwin Plooy | 2614093 | 1 | 03/03/2008 | Customer Dispute | Denied | $70,000.00 | $0.00 | See FINRA Report |
| Peter D Krum | 4007730 | 1 | 09/28/2007 | Customer Dispute | Denied | $17,151.00 | $0.00 | See FINRA Report |
| Karl Harold Miller | 5020805 | 1 | 09/26/2007 | Customer Dispute | Denied | $7,987.81 | $0.00 | See FINRA Report |
| Chad Michael Thomley | 2270017 | 2 | 09/26/2007 | Customer Dispute | Denied | $7,987.81 | $0.00 | See FINRA Report |