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 |
|---|---|---|---|---|---|---|---|---|
| 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 |
| Neil Ivan Zeller | 2976118 | 1 | 12/23/2020 | Customer Dispute | Settled | $10,473.00 | $0.00 | See FINRA Report |
| Stephen Paul Miller | 5891387 | 1 | 12/16/2020 | Customer Dispute | Settled | $70,000.00 | $0.00 | See FINRA Report |
| Mark Alan Peterson | 4485199 | 2 | 04/25/2020 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Erik Ervin Mons Teig | 6458912 | 1 | 04/03/2020 | Customer Dispute | Settled | $52,000.00 | $0.00 | See FINRA Report |