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 |
|---|---|---|---|---|---|---|---|---|
| Christina Denise Klitzke | 4910705 | 11 | 08/26/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brent Michael Fassett | 5698669 | 1 | 08/22/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Robert Laurent | 2978302 | 11 | 08/14/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Philip Iskander Hanna | 6925914 | 1 | 08/02/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kevin Lee Jensen | 5048787 | 1 | 07/08/2019 | Customer Dispute | Denied | $9,326.06 | $0.00 | See FINRA Report |
| Lana N Gore | 5000812 | 1 | 07/08/2019 | Customer Dispute | Denied | $9,326.06 | $0.00 | See FINRA Report |
| Arnold Theodore Abel | 1582180 | 12 | 06/28/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Scott Jeffery Schultz | 3193480 | 1 | 06/18/2019 | Customer Dispute | Denied | $37,223.40 | $0.00 | See FINRA Report |
| Brent Michael Bartell | 2061006 | 3 | 06/12/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jeremiah Daniel Merkau | 6262664 | 2 | 05/14/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |