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Deborah McCarty Fired from Thrivent Investment Management

Deborah McCarty (CRD #: 1590353), a broker formerly registered with Thrivent Investment Management, was fired from that firm following allegations of misconduct, according to her BrokerCheck record, accessed on November 13, 2024. If you have questions about her alleged conduct as a broker, keep reading.

Termination by Thrivent Investment Management

On October 9, 2024, Deborah McCarty was fired from Thrivent Investment Management after the firm allegedly concluded that she had electronically signed documents on behalf of clients.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Background Information

Deborah McCarty has passed the following exams:

  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 6 – Investment Company Products/Variable Contracts Representative Examination

She previously worked for Thrivent Investment Management (CRD#:18387) and AAL Distributors (CRD#:18387).

Kurta Law Can Help

If you worked with Deborah McCarty and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. 

 

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