Jose Fuentes Fired from Thrivent Investment Management

Jose Fuentes (CRD #: 8007089), a broker registered with Merrill Lynch, Pierce, Fenner & Smith, was fired from his previous firm, according to his BrokerCheck record, accessed on August 3, 2025. If you have questions about his alleged conduct as a broker, read on.

Termination from Thrivent Investment Management

On April 11, 2025, Jose Fuentes was fired from Thrivent Investment Management following allegations that he failed to accurately disclose information and submit his Form U4 (Uniform Application for Securities Industry Registration or Transfer) in a timely manner.

FINRA Rule 1122

FINRA Rule 1122 requires brokers to keep their membership and registration documentation up-to-date and to correct any inaccuracies or misleading information in a timely manner.

FINRA Rule 2010

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

Background Information

Jose Fuentes has passed the following exams:

• General Securities Representative Examination – Series 7TO
• Securities Industry Essentials Examination – SIE
• Uniform Securities Agent State Law Examination – Series 63
• Uniform Investment Adviser Law Examination – Series 65

Jose Fuentes is a registered broker in 39 states as well as the District of Columbia, Puerto Rico, and the Virgin Islands. He is also a registered investment adviser in Texas.

He has also worked for Thrivent Investment Management (CRD#:18387) and Florida Financial Advisors (CRD#:288811).

Kurta Law Can Help

If you worked with Jose Fuentes 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.