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 |
| Mary Palmer Richardson | 7037445 | 1 | 05/21/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Viet Bao Tran | 6322146 | 4 | 05/10/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Gerald David Roth | 2305016 | 1 | 05/09/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Cory Michael Williams | 6058868 | 1 | 04/09/2022 | Financial | Final | $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 |
| Steven Charles Patterson | 5377948 | 2 | 03/17/2022 | Customer Dispute | Denied | $5,288.60 | $0.00 | See FINRA Report |
| Rej Hoxha | 7038128 | 1 | 03/10/2022 | Financial | Final | $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 |
| Bradley Paul Markwell | 4519631 | 3 | 03/01/2022 | Customer Dispute | Denied | $7,311.98 | $0.00 | See FINRA Report |