Galvin Legal, PLLC is launching an investigation on behalf of investors who may have suffered losses investing with Thrivent Investment Management. If you suffered losses investing with Thrivent Investment Management, then Galvin Legal, PLLC may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
Thrivent Investment Management (CRD# 18387) (SEC# 801-29618, 8-36525)
As of April 4, 2020, Thrivent Investment Management’s FINRA BrokerCheck Report contains the following:
5 Regulatory Event Disclosures
Main Office Location
625 FOURTH AVENUE SOUTH
MINNEAPOLIS, MN 55415-1665
UNITED STATES
Mailing Address
625 FOURTH AVENUE SOUTH
MINNEAPOLIS, MN 55415-1665
UNITED STATES
Business Telephone Number
800-847-4836
Direct Owners and Executive Officers
THRIVENT FINANCIAL HOLDINGS, INC., OWNER
GILCHRIST, TONIA NICOLE JAMES (CRD#:4777233), CHIEF LEGAL OFFICER & SECRETARY
GOLIS, ANDREA CORIN (CRD#:1401462), CHIEF COMPLIANCE OFFICER
KLOSTER, DAVID JACOB (CRD#:2523240), DIRECTOR
LARSON, KAREN LYNN (CRD#:4122142), PRESIDENT
OSBORNE, CHRISTOPHER JOHN (CRD#:4264125), HEAD OF ENTERPRISE SUPERVISION
SHARMA, VIBHU RANJAN (CRD#:5491747), DIRECTOR
TURESON, KURT SANDER (CRD#:1758373), DIRECTOR OF AFFILIATE FINANCIAL MANAGEMENT CORPORATE ACCOUNTING, CFO & TREASURER
FINRA requires brokerage firms to conduct due diligence on investments and to conduct a suitability analysis when recommending securities to a customer that takes into account the customer’s knowledge and experience. Brokerage firms that fail to conduct adequate due diligence or that make unsuitable recommendations can be held responsible for the customer’s losses in a FINRA arbitration claim.
If you suffered losses investing with Thrivent Investment Management and would like a free consultation with a securities attorney, then please call Galvin Legal, PLLC at 1-800-405-5117.
This information is all publicly available and is being provided to you by Galvin Legal, PLLC.
Galvin Legal, PLLC is a national securities arbitration, securities mediation, securities litigation, securities fraud, securities regulation and compliance, and investor protection law practice. For more information on Galvin Legal, PLLC and its representation of investors, please visit www.galvinlegal.com or call 1-800-405-5117.
