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 |
|---|---|---|---|---|---|---|---|---|
| Raquel Silva-Martinez | 7725968 | 1 | 08/05/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James David McNaughton | 6082816 | 1 | 10/09/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Rochelle Susee | 6566443 | 1 | 04/06/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Daniel Scott Kluis | 5403515 | 3 | 04/06/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Daniel Scott Kluis | 5403515 | 3 | 03/31/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Nichole Marcella Polster | 5877456 | 3 | 02/22/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Nichole Marcella Polster | 5877456 | 3 | 02/22/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Teresa Marie Bradley | 4290359 | 2 | 12/17/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Teresa Marie Bradley | 4290359 | 2 | 12/15/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Timothy Charles Vanrooy | 1758371 | 1 | 12/01/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |