NATHANAEL STEPHEN OTT at THRIVENT INVESTMENT MANAGEMENT INC. – View Complaints, Disclosures, Scams and Audit Report (Updated 2023)

CRD# 5143391
NATHANAEL STEPHEN OTT is an Investment Adviser, associated with THRIVENT INVESTMENT MANAGEMENT INC. located at SAGINAW, MI. NATHANAEL OTT’s Central Registration Depository (CRD) number is 5143391 and the FINRA Profile can be found at – https://brokercheck.finra.org/individual/summary/5134112.

Disclosure #1 for NATHANAEL OTT

    • Event Date: 6/7/2010
    • Disclosure Type: Customer Dispute
    • Resolution: Settled
    • Allegations: CUSTOMER ALLEGES WRITING RR MISREPRESENTED THE MANAGED ACCOUNT SHE ORIGINALLY PURCHASED IN JAN. 2007. ORIGINAL MANAGED ACCOUNT WAS CLOSED IN SEPT. 2007. CUSTOMER ALLEGES SUBSEQUENT RR SOLD ANOTHER MANAGED ACCOUNT THAT WAS UNSUITABLE IN OCT. 2007. FIRM REIMBURSED ADVISORY FEES (TOTALING $3,983.67) AS A GOODWILL GESTURE.
    • Damage Amount Requested: $17,248.41
    • Settlement Amount: $3,983.67
    • Arbitration Docket Number:


Should I file a FINRA complaint against brokers like NATHANAEL STEPHEN OTT?

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 NATHANAEL STEPHEN OTT’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 NATHANAEL STEPHEN OTT

What is NATHANAEL OTT's Central Registration Depository (CRD) Number?

5143391

Which firm is NATHANAEL STEPHEN OTT associated with?

THRIVENT INVESTMENT MANAGEMENT INC.

Where is NATHANAEL OTT located?

4855 STATE ST, SAGINAW, MI, 48603

Where can I find more details about NATHANAEL OTT'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 NATHANAEL STEPHEN OTT?

Yes. There are disclosures, allegations, or complaints filed against NATHANAEL STEPHEN OTT. Click here to view all details

Where can I download a detailed FINRA report for NATHANAEL OTT?

Click here to download a detailed FINRA report for NATHANAEL OTT

Is it safe to do business with NATHANAEL STEPHEN OTT?

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


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