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 |
|---|---|---|---|---|---|---|---|---|
| Lafayette David Johnson | 4523821 | 5 | 11/04/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Casey Klein | 5631328 | 1 | 11/02/2021 | Customer Dispute | Denied | $11,147.00 | $0.00 | See FINRA Report |
| Viet Bao Tran | 6322146 | 4 | 08/19/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brooke Jackson Harvey | 7453966 | 3 | 08/05/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brandon P Saia | 7558936 | 1 | 06/25/2021 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Brenda Lea Ingli | 2840471 | 5 | 06/17/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jane Omdahl | 7188429 | 1 | 06/16/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Anne J Whiting | 3264149 | 2 | 06/09/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Robert Laurent | 2978302 | 11 | 05/13/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Robert Laurent | 2978302 | 11 | 04/22/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |