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 |
|---|---|---|---|---|---|---|---|---|
| Jacob Henry Baker | 6979274 | 1 | 04/07/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Tyler J Galliher | 7789845 | 3 | 03/23/2022 | Financial | Final | $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 |
| Nicolas Wayne Elizondo | 7800435 | 1 | 03/13/2022 | 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 |
| James Richmond Shuttleworth | 2238199 | 2 | 02/25/2022 | Customer Dispute | Settled | $23,387.50 | $0.00 | See FINRA Report |
| Dale Edward Bielicki | 6726129 | 1 | 01/11/2022 | Customer Dispute | Closed-No Action | $13,357.00 | $0.00 | See FINRA Report |
| Jacob McCue | 7159473 | 1 | 11/10/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lafayette David Johnson | 4523821 | 5 | 11/08/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |