GERALD DAVID ROTH at THRIVENT INVESTMENT MANAGEMENT INC. – View Complaints, Disclosures, Scams and Audit Report (Updated 2023)

CRD# 2305016
GERALD DAVID ROTH is an Investment Adviser, associated with THRIVENT INVESTMENT MANAGEMENT INC. located at HOUSTON, TX. GERALD ROTH’s Central Registration Depository (CRD) number is 2305016 and the FINRA Profile can be found at – https://brokercheck.finra.org/individual/summary/5134112.

Disclosure #1 for GERALD ROTH

    • Event Date: 5/9/2022
    • Disclosure Type: Customer Dispute
    • Disclosure Resolution: Settled
    • Disclosure Detail :: Allegations: Client alleged variable annuity subaccount reallocation did not take place as requested in April 2022.
    • Settlement Amount: $62,458.92
    • Arbitration Docket Number:
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Should I file a FINRA complaint against brokers like GERALD DAVID ROTH?

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 GERALD DAVID ROTH’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 GERALD DAVID ROTH

What is GERALD ROTH's Central Registration Depository (CRD) Number?

2305016

Which firm is GERALD DAVID ROTH associated with?

THRIVENT INVESTMENT MANAGEMENT INC.

Where is GERALD ROTH located?

17450 EL CAMINO REAL, HOUSTON, TX, 77058

Where can I find more details about GERALD ROTH'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 GERALD DAVID ROTH?

Yes. There are disclosures, allegations, or complaints filed against GERALD DAVID ROTH. Click here to view all details

Where can I download a detailed FINRA report for GERALD ROTH?

Click here to download a detailed FINRA report for GERALD ROTH

Is it safe to do business with GERALD DAVID ROTH?

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

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Originally reported on November 17, 2022 @ 8:42 pm

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