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Kathleen Bramlett Allegedly Recommended an Unsuitable Insurance Transaction

Kathleen Bramlett (CRD #: 2063221), a broker registered with Thrivent Investment Management, is the subject of a regulatory action in Wisconsin. This disclosure appears on his BrokerCheck record, accessed on June 28, 2024. Keep reading if you have questions concerning her alleged conduct. 

Regulatory Action

On May 8, 2024, the State of Wisconsin Insurance Division entered a Stipulation and Order that alleged Kathleen Bramlett recommended an unsuitable insurance transaction. Wisconsin also imposed a civil and administrative penalty/fine of $5,000. 

What is an Unsuitable Investment?

FINRA Rule 2111 requires brokers to evaluate whether an investment strategy fits their investor’s financial goals. Brokers must examine the investor’s profile, which contains the following investor characteristics:

  • Age
  • Risk tolerance
  • Time horizon (i.e., how long the investor plans to hold the investment)
  • Investing experience
  • Tax status
  • Financial goals

Investors who rely on brokers for recommendations may be able to recover losses from unsuitable investment recommendations by pursuing FINRA arbitration.

Background Information 

Kathleen Bramlett has passed the following exams:

  • Series 65 Uniform Investment Adviser Law Examination 
  • Series 63 Uniform Securities Agent State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 7 General Securities Representative Examination
  • Series 6 Investment Company Products/ Variable Contracts Representative Examination 

She is a registered broker in eight states and is a registered investment adviser in Texas and Wisconsin. 

During her 34 years of experience, Kathleen Bramlett has registered with the following four firms: 

  • Thrivent Investment Management (CRD #: 18387) 
  • Lutheran Brotherhood Securities Corp. (CRD #: 4205) 
  • MetLife Securities (CRD #: 14251) 
  • Metropolitan Life Insurance Company (CRD #: 4095) 

Kurta Law Can Help 

If you have worked with Kathleen Bramlett and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email 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 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. Do not let securities fraud go unchecked. Start your recovery process today.