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 |
|---|---|---|---|---|---|---|---|---|
| Christopher Walton | 4822206 | 1 | 01/31/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nicole Therese Westlund | 5518304 | 1 | 01/26/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nathan J Woodard | 5971062 | 1 | 01/22/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Robert Laurent | 2978302 | 11 | 01/21/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Robert Laurent | 2978302 | 11 | 01/09/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Richard Lorenz | 7319949 | 9 | 12/26/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Richard Lorenz | 7319949 | 9 | 12/21/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Richard Lorenz | 7319949 | 9 | 12/18/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Richard Lorenz | 7319949 | 9 | 12/03/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kevin Lynn Schaeuble | 4118213 | 3 | 11/15/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |