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Thrivent Investment Management Fires James Garraway 

Apr 4, 2022 Investor Disputes

James Garraway (CRD #7132872) was recently fired by Thrivent Investment Management according to his BrokerCheck record, accessed on March 24, 2022. 

Termination Details

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.

Background Information

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.

Kurta Law Can Help

If you lost money while working with James Garraway, don't hesitate to contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and 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.