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 |
|---|---|---|---|---|---|---|---|---|
| Arnold Theodore Abel | 1582180 | 12 | 05/10/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Robert Laurent | 2978302 | 11 | 05/08/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brooke Jackson Harvey | 7453966 | 3 | 05/01/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nicholas Danny Romero | 6594130 | 1 | 04/18/2019 | Customer Dispute | Denied | $12,267.10 | $0.00 | See FINRA Report |
| Thomas Scott Gearhart | 3238046 | 1 | 04/08/2019 | Customer Dispute | Denied | $14,969.40 | $0.00 | See FINRA Report |
| Jay Lassen | 7146085 | 1 | 02/27/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Robert Laurent | 2978302 | 11 | 02/14/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher Walton | 4822206 | 1 | 01/31/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nicole Therese Westlund | 5518304 | 1 | 01/26/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Alan Ives Caulkins | 1955686 | 1 | 01/23/2019 | Customer Dispute | Denied | $81,476.10 | $0.00 | See FINRA Report |