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 |
|---|---|---|---|---|---|---|---|---|
| Brenda Lea Ingli | 2840471 | 5 | 10/11/2022 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Nathan C Jones | 6975561 | 1 | 08/23/2022 | Customer Dispute | Closed-No Action | $5,579.51 | $0.00 | See FINRA Report |
| Brenda Lea Ingli | 2840471 | 5 | 07/31/2022 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Jason Baird | 7702794 | 1 | 07/05/2022 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jason K Reynolds | 7783504 | 2 | 06/29/2022 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Jason K Reynolds | 7783504 | 2 | 06/29/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jerald J Haerle | 5439661 | 1 | 06/14/2022 | Customer Dispute | Settled | $23,548.90 | $0.00 | See FINRA Report |
| Steven Craig Simons | 6532156 | 1 | 06/13/2022 | Customer Dispute | Settled | $40,246.90 | $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 |