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 |
|---|---|---|---|---|---|---|---|---|
| Mark Alan Gerler | 2829216 | 1 | 07/16/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Arpad John Tota | 7234335 | 4 | 06/17/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Arpad John Tota | 7234335 | 4 | 06/16/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel Scott Kluis | 5403515 | 3 | 06/01/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mary Catherine Kraft | 1286174 | 1 | 05/27/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Philip Brian Novicki | 4205875 | 2 | 05/04/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Anthony J Pochowski | 5125189 | 6 | 04/27/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Anthony J Pochowski | 5125189 | 6 | 04/24/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jeremy Paul Kelley | 6198241 | 14 | 04/15/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jeremy Paul Kelley | 6198241 | 14 | 04/15/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |