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 |
|---|---|---|---|---|---|---|---|---|
| Rochelle Susee | 6566443 | 1 | 04/06/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| William Andrew Hunter | 6692334 | 2 | 04/05/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Lavincent E Wren | 5295877 | 6 | 04/05/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel Jay Fuehrmeyer | 4836686 | 1 | 03/29/2017 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Sheila Rae Johnson | 6084105 | 1 | 03/20/2017 | Customer Dispute | Settled | $14,674.20 | $0.00 | See FINRA Report |
| Chandel Beretha Strickland | 6996275 | 1 | 03/12/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Cory Werlinger | 5374214 | 3 | 03/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Dwayne Charles Kesting | 2232536 | 1 | 02/06/2017 | Customer Dispute | Denied | $26,560.10 | $0.00 | See FINRA Report |
| Kay Whitney Demito | 6879747 | 1 | 01/12/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Robert Mansur | 5925000 | 2 | 12/28/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |