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 |
|---|---|---|---|---|---|---|---|---|
| Chike Uzoka | 5144460 | 2 | 09/26/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Chike Uzoka | 5144460 | 2 | 09/26/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Viet Bao Tran | 6322146 | 4 | 05/10/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Cory Michael Williams | 6058868 | 1 | 04/09/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Rej Hoxha | 7038128 | 1 | 03/10/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lafayette David Johnson | 4523821 | 5 | 11/08/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lafayette David Johnson | 4523821 | 5 | 11/04/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Tyler Kruse | 7037213 | 1 | 09/29/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Viet Bao Tran | 6322146 | 4 | 08/19/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brooke Jackson Harvey | 7453966 | 3 | 08/05/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |