CARLA LOUISE BRAATEN is currently employed as a Broker and/or Investment Adviser at THRIVENT INVESTMENT MANAGEMENT INC. located at 1131 WESTRAC DR S, FARGO, ND, 58103.
CARLA LOUISE BRAATEN has worked at THRIVENT INVESTMENT MANAGEMENT INC. since July 01, 2002
Disclosure History
CARLA LOUISE BRAATEN has 1 Disclosure Event(s).
Date: March 03, 2003 Category: Customer Dispute Allegations: WHEN THE DISTRIBUTION WAS TAKEN FROM THE MEMBERS ANNUITY, THEY WERE NOT MADE AWARE THAT THIS WOULD CREATE A TAXABLE EVENT. OUR FIRM CONFIRMED WITH THE REGISTERED REPRESENTATIVE, THAT THIS FACT WAS NOT DISCLOSED TO THE MEMBER. AS A RESULT, OUR FIRM HAVE REQUESTED AND RECEIVED INFORMATION FROM THE MEMBER CPA, REGARDING THE ADDITIONAL TAXES THE MEMBER WERE ASSESSED. OUR FIRM HAS DETERMINED THE MEMBERS ADDITIONAL FEDERAL INCOME TAX WAS $4,709; THE MEMBERS ADDITIONAL STATE INCOME TAX WAS $2,121. Damage Amount Requested: $5,350.00 Settlement Amount: $7,796.00
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