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 |
|---|---|---|---|---|---|---|---|---|
| Kimberly Sue Dwyer | 6642582 | 2 | 11/06/2019 | Customer Dispute | Denied | $43,000.00 | $0.00 | See FINRA Report |
| Bradley Paul Markwell | 4519631 | 3 | 10/14/2019 | Customer Dispute | Settled | $5,041.61 | $0.00 | See FINRA Report |
| Mark Robert Laurent | 2978302 | 11 | 10/11/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James David McNaughton | 6082816 | 1 | 10/09/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Myriah Lawson | 7173108 | 5 | 09/20/2019 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Myriah Lawson | 7173108 | 5 | 09/20/2019 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Myriah Lawson | 7173108 | 5 | 09/20/2019 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Myriah Lawson | 7173108 | 5 | 09/20/2019 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Myriah Lawson | 7173108 | 5 | 09/20/2019 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Eric Dean Brady | 2152702 | 1 | 09/19/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |