LUKE MICHAEL ERICKSON

LUKE MICHAEL ERICKSON is currently employed as a Broker and/or Investment Adviser at THRIVENT INVESTMENT MANAGEMENT INC. located at 203 2ND AVE NE, ROSEAU, MN, 56751.

LUKE MICHAEL ERICKSON has worked at THRIVENT INVESTMENT MANAGEMENT INC. since May 01, 2012

Disclosure History

LUKE MICHAEL ERICKSON has 1 Disclosure Event(s).

Date: March 22, 2016
Category: Customer Dispute
Allegations: Beneficiaries alleged they received incorrect information in December 2015 about settling the customer's estate, which caused delays, market losses, and an uninformed investment recommendation.
Damage Amount Requested: $23,381.46
Settlement Amount: $9,560.62

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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