Ryan James Thorpe

Ryan James Thorpe is currently employed as a Broker and/or Investment Adviser at THRIVENT INVESTMENT MANAGEMENT INC. located at 443 N Pioneer Rd, FOND DU LAC, WI, 54935.

Ryan James Thorpe has worked at THRIVENT INVESTMENT MANAGEMENT INC. since August 09, 2017

Disclosure History

Ryan James Thorpe has 3 Disclosure Event(s).

Date: June 20, 2017
Category: Financial
Type: Compromise
Disposition: Satisfied/Released
Broker Comment: FINANCIAL ISSUE WAS DUE TO EXTENUATING CIRCUMSTANCES DUE TO FAMILY MEDICAL ISSUES.

Date: June 16, 2017
Category: Financial
Type: Compromise
Disposition: Satisfied/Released
Broker Comment: RESULT OF EXTENUATING CIRCUMSTANCES DUE TO FAMILY MEDICAL REASONS.

Date: May 23, 2017
Category: Financial
Type: Compromise
Disposition: Satisfied/Released
Broker Comment: Financial issue was due to extenuating circumstances due to family medical issues.

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.

To view the full report for Ryan James Thorpe, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.