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 |
|---|---|---|---|---|---|---|---|---|
| Philip Henry Oestreich | 2783802 | 1 | 03/31/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Lafayette David Johnson | 4523821 | 5 | 02/06/2004 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Alan Haglin | 2771633 | 1 | 05/13/2003 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Walter Ferguson | 4530598 | 2 | 03/26/2003 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Christian Frank Holgard | 3244256 | 1 | 02/10/2003 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew Walker Townley | 2253636 | 1 | 04/30/1998 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Nathanael Granner | 2199494 | 2 | 01/09/1998 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Harvey Frank Senn | 2327808 | 1 | 11/07/1997 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |