Thrivent Investment Management Fires James Garraway
James Garraway (CRD #7132872) was recently fired by Thrivent Investment Management according to his BrokerCheck record, accessed on March 24, 2022.
On December 20, 2021, Thrivent Investment Management fired James Garraway after allegedly failing to collect authentic client electronic signatures on certain client documents. Failing to collect authentic client signatures is a violation of FINRA Rule 2010.
FINRA Rule 2010
FINRA Rule 2010 states that brokers must uphold high standards of commercial honor.
James Garraway has passed the following exams:
- Series 65 – Uniform Investment Adviser Law Examination
- Series 63 – Uniform Securities Agent State Law Examination
- Series 6TO – Investment Company Products/Variable Contracts Representative Examination
- SIE – Securities Industry Essentials Examination
Besides Thrivent Investment Management, he has not worked with any other firm.
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