THRIVENT INVESTMENT MANAGEMENT INC. Tag Archives

There are Recent Customer Complaints with Broker Stephen Miller in Firm Thrivent Investment Management INC.

March 16, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint with a damage request of $70,000.00 on December 16, 2020.

Client alleged the variable annuity purchased in June 2018 was not a suitable investment and was misrepresented to him.

There are Recent Customer Complaints with Broker Nicholas Baecker in Firm Thrivent Investment Management INC.

March 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicholas Baecker (Baecker), previously associated with Thrivent Investment Management INC., has at least 3 disclosable events. These events include one customer complaint, 2 regulatory events, alleging that Baecker recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on February 25, 2021.

Misstatements on applications and forged signatures

Broker Michael Weister in Thrivent Investment Management INC. Firm Has Customer Complaint

February 24, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 30, 2021.

Client alleges the account activity from January 24, 2017 through August 2017 was not suitable.

Broker Tyler Jones in Thrivent Investment Management INC. Firm Has Customer Complaint

December 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tyler Jones (Jones), previously associated with Thrivent Investment Management INC., has at least one disclosable event. These events include one customer complaint, alleging that Jones 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 $7,342.52 on October 29, 2025.

Customer alleged the Variable Universal Life (VUL) contract issued in August 2022 was not suitable

There are Recent Customer Complaints with Broker Anna Lucas in Firm Thrivent Investment Management INC.

December 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anna Lucas (Lucas), currently associated with Thrivent Investment Management INC., has at least one disclosable event. These events include one customer complaint, alleging that Lucas 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 $7,342.52 on October 29, 2025.

Customer alleged the Variable Universal Life (VUL) contract issued in August 2022 was not suitable.

Broker Jacob Baker in Thrivent Investment Management INC. Firm Has Customer Complaint

December 1, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 07, 2022.

Client alleged he had not agreed to the surrender charges on his new VA contract in May 2021.

Broker Gerald Roth in Thrivent Investment Management INC. Firm Has Customer Complaint

November 26, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on May 09, 2022.

Client alleged variable annuity subaccount reallocation did not take place as requested in April 2022.

Broker Steven Simons in Thrivent Investment Management INC. Firm Has Customer Complaint

November 15, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint with a damage request of $40,246.92 on June 13, 2022.

Client alleged the fixed immediate annuity purchased in May 2021 was not his best option.

Broker Jerald Haerle in Thrivent Investment Management INC. Firm Has Customer Complaint

November 15, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint with a damage request of $23,548.93 on June 14, 2022.

Client alleged the variable annuity product purchased in June 2022 was presented to her as an investment that would not lose value.

There are Recent Customer Complaints with Broker Ryan Pramberg in Firm Thrivent Investment Management INC.

November 2, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint with a damage request of $5,278.00 on April 04, 2025.

Client alleged the recommendation to surrender her variable annuity and move the funds into a managed account in September of 2024 did not meet her needs.