Articles Tagged with THRIVENT INVESTMENT MANAGEMENT INC.

Broker Michael Thomas in Thrivent Investment Management Inc. Firm Has Customer Complaint

March 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Thomas (Thomas), previously associated with Thrivent Investment Management Inc., has at least one disclosable event. These events include one tax lien, alleging that Thomas recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on January 30, 2025.

Respondent Thomas failed to respond to FINRA requests for information.

Thrivent Investment Management Inc. Broker Luke Kloosterman Has Customer Complaint

January 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Luke Kloosterman (Kloosterman), currently associated with Thrivent Investment Management Inc., has at least one disclosable event. These events include one customer complaint, alleging that Kloosterman recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $56,742.00 on December 16, 2024.

Client alleged RR did not disclose or explain surrender charges and the length of time they would apply to the VUL contract purchased in May 2022.

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