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 |
|---|---|---|---|---|---|---|---|---|
| Patrick John Klenner | 5368461 | 1 | 07/02/2024 | Customer Dispute | Settled | $10,411.50 | $0.00 | See FINRA Report |
| John Edward Kiblin | 4848071 | 1 | 11/06/2023 | Customer Dispute | Settled | $28,554.40 | $0.00 | See FINRA Report |
| Zachary John Nigh | 7229938 | 1 | 12/20/2022 | Customer Dispute | Settled | $340.23 | $0.00 | See FINRA Report |
| Jerald J Haerle | 5439661 | 1 | 06/14/2022 | Customer Dispute | Settled | $23,548.90 | $0.00 | See FINRA Report |
| Steven Craig Simons | 6532156 | 1 | 06/13/2022 | Customer Dispute | Settled | $40,246.90 | $0.00 | See FINRA Report |
| Gerald David Roth | 2305016 | 1 | 05/09/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jacob Henry Baker | 6979274 | 1 | 04/07/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James Richmond Shuttleworth | 2238199 | 2 | 03/09/2022 | Customer Dispute | Settled | $11,340.00 | $0.00 | See FINRA Report |
| James Richmond Shuttleworth | 2238199 | 2 | 02/25/2022 | Customer Dispute | Settled | $23,387.50 | $0.00 | See FINRA Report |
| Michael Weister | 5819486 | 3 | 03/30/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |