Carol Marie Sullivan at THRIVENT INVESTMENT MANAGEMENT INC. – View Complaints, Disclosures, Scams and Audit Report (Updated 2023)

CRD# 5637227
Carol Marie Sullivan is an Investment Adviser, associated with THRIVENT INVESTMENT MANAGEMENT INC. located at SHAKOPEE, MN. Carol Sullivan’s Central Registration Depository (CRD) number is 5637227 and the FINRA Profile can be found at – https://brokercheck.finra.org/individual/summary/5134112.

Disclosure #1 for Carol Sullivan

    • Event Date: 9/20/2017
    • Disclosure Type: Customer Dispute
    • Resolution: Closed-No Action
    • Allegations: Customer alleged she did not authorize the automatic withdrawals, which started in May 2015, from her VA contact. Customer also alleged she did not receive advice or information about tax consequences, regarding distributions she started taking from her VA contract in 2014.
    • Damage Amount Requested: $418,389.99
    • Arbitration Docket Number:


Should I file a FINRA complaint against brokers like Carol Marie Sullivan?

Many investors (presumably, like yourself) are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who lost money in this fashion may actually be entitled to damages. You may suffer significant losses at the hands of your financial advisors’ misconduct, such as if they misrepresented or failed to disclose the risks associated with a particular investment, recommended frequent trades for the sole purpose of generating commissions, or used high-pressure tactics to make a sale. The rules and regulations of securities laws and FINRA policies are complex, and investment loss claims require an extensive understanding of securities arbitration to achieve the best possible results.

Update - 2022.11.15If you have suffered investment losses that may have been caused by Carol Marie Sullivan’s negligence or fraud, contact a FINRA lawyer today. Most FINRA lawyers work on a contingency fee basis, meaning that you will not be charged for their services unless they successfully collect money for you. Kindly add a comment, or contact us directly if you have any query, or want to be contacted by a FINRA lawyer today!

 
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Frequently Asked Questions About Carol Marie Sullivan

What is Carol Sullivan's Central Registration Depository (CRD) Number?

5637227

Which firm is Carol Marie Sullivan associated with?

THRIVENT INVESTMENT MANAGEMENT INC.

Where is Carol Sullivan located?

1226 4TH AVE E, SHAKOPEE, MN, 55379

Where can I find more details about Carol Sullivan's Investment Firm?

Visit https://brokercheck.finra.org/firm/summary/18387 to read a detailed report for THRIVENT INVESTMENT MANAGEMENT INC.

Are there any disclosures, allegations or complaints filed against Carol Marie Sullivan?

Yes. There are disclosures, allegations, or complaints filed against Carol Marie Sullivan. Click here to view all details

Where can I download a detailed FINRA report for Carol Sullivan?

Click here to download a detailed FINRA report for Carol Sullivan

Is it safe to do business with Carol Marie Sullivan?

We’re not sure. Please research Carol Sullivan’s disclosures, allegations and complaints before taking a decision


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