# EDGAR Filing Document

**Accession Number:** 0000817712
**File Stem:** 0000817712-23-000002
**Filing Date:** 2023-2
**Character Count:** 15947
**Document Hash:** fac47a11272634ead3cb154c7fce48a4
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000817712-23-000002.hdr.sgml**: 20230224

**ACCESSION NUMBER**: 0000817712-23-000002

**CONFORMED SUBMISSION TYPE**: TA-1/A

**PUBLIC DOCUMENT COUNT**: 1

**FILED AS OF DATE**: 20230223

**DATE AS OF CHANGE**: 20230224

**EFFECTIVENESS DATE**: 20230305

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** THRIVENT FINANCIAL INVESTOR SERVICES INC /TA
- **CENTRAL INDEX KEY:** 0000817712
- **IRS NUMBER:** 000000000
- **STATE OF INCORPORATION:** PA

**FILING VALUES:**
- **FORM TYPE:** TA-1/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 084-01547
- **FILM NUMBER:** 23666434

**BUSINESS ADDRESS:**
- **STREET 1:** 4321 N BALLARD RD
- **CITY:** APPLETON
- **STATE:** WI
- **ZIP:** 54919-0001
- **BUSINESS PHONE:** 612 844 5704

**MAIL ADDRESS:**
- **STREET 1:** 901 MARQUETTE AVENUE
- **STREET 2:** SUITE 2500
- **CITY:** MINNEAPOLIS
- **STATE:** MN
- **ZIP:** 55402-3211

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM TA-1

### UNIFORM FORM OF APPLICATION FOR REGISTRATION AS A TRANSFER AGENT

### Registrant Information

**Appropriate regulatory agency:** SEC

**Full name of Registrant:** THRIVENT FINANCIAL INVESTOR SERVICES INC /TA

**FINS Number:** 473165

**Address of principal office where transfer agent activities are performed:** 4321 N. Ballard Road, Appleton, WI, 54919

**Is mailing address different from principal office address?:** Yes

**Mailing Address:** 901 Marquette Avenue, Suite 2500, MINNEAPOLIS, MN, 55402-3211

**Telephone Number:** 612-844-4581

**Does registrant conduct business in other locations?:** No

**Is registrant a self-transfer agent?:** Yes

**Does registrant engage a service company to perform any of its transfer agent functions?:** Yes

**Is registrant engaged as a service company by a named transfer agent?:** No

### Ownership and Control Information

**Registrant Type:** Corporation

**Does any other person control the management or policies of the applicant?:** Yes

- **Controlling Entity Name:** Thrivent Financial for Lutherans

- **Agreement Description:** TFL is the parent company of Thrivent Financial Holdings, Inc.

**Does any other person directly or indirectly finance the applicant?:** No

**Control Affiliates Information:**

| Entity Name                       | Relationship Start Date   | Title or Status                          | Ownership Code   | Control Person   |
|:---|:---|:---|:---|:---|
| Cynthia Jean Nigbur               | 10/01/2002                | Assistant Secretary                      | NA               |  |
| Thrivent Financial Holdings, Inc. | 01/01/2002                | Parent Company                           | E                | Yes              |
| Kathleen Marie Koelling           | 06/27/2011                | Privacy Officer                          | NA               | Yes              |
| Michael Walden Kremenak           | 06/05/2013                | Director                                 | NA               | Yes              |
| David Scott Royal                 | 12/12/2014                | Director                                 | NA               | Yes              |
| Edward Stuart Dryden              | 03/20/2015                | Chief Compliance Officer                 | NA               | Yes              |
| Jason Daniel Sterling             | 06/02/2015                | Assistant Operations Officer             | NA               | Yes              |
| Jill Marie Forte                  | 06/28/2017                | Chief Legal Officer and Secretary        | NA               | Yes              |
| Jason Tyler Schmidt               | 06/28/2018                | Assistant Operations Officer             | NA               | Yes              |
| Jeffrey David Cloutier            | 06/05/2019                | Chief Financial Officer                  | NA               | Yes              |
| Sharon Kay Minta                  | 08/14/2019                | Anti-Money Laundering Officer            | NA               | Yes              |
| Jessica Erin English              | 12/09/2019                | Assistant Secretary                      | NA               |  |
| Rodney Dean Bacon                 | 08/25/2020                | Assistant Treasurer                      | NA               |  |
| Jamie Lee Riesterer               | 01/01/2022                | Director                                 | NA               | Yes              |
| Stephen Charles Kennedy           | 07/01/2022                | President                                | NA               | Yes              |
| Andrew Ray Kellogg                | 07/01/2022                | Vice President, Chief Operations Officer | NA               | Yes              |

### Disciplinary History

- **Convicted/plead guilty to any felony or investment-related misdemeanor?:** No

- **Convicted/plead guilty to any other felony?:** No

- **Enjoined in connection with any investment-related activity?:** No

- **Found to have violated any investment-related statute or regulation?:** No

- **Made a false statement or omission in a filing with the SEC?:** No

- **Found to have violated SRO rules or failed to supervise?:** No

- **Had authorization to act as a financial professional denied, suspended, or revoked?:** No

- **Had a registration as a financial professional denied, suspended, or revoked?:** No

- **Federal/State agency found a false statement or omission?:** No

- **Federal/State agency found a violation of investment-related regulations?:** Yes

  - **Details #1:**

    - **Entity Name:** Thrivent Financial for Lutherans

    - **Action Title:** In the Matter of the Market Conduct Examination of Thrivent Financial

    - **Action Date:** 03/10/2006

    - **Court/Body Name and Location:** Colorado Division of Insurance

    - **Action Description:** Routine market conduct examination resulted in finding that Thrivent Financial for Lutherans failed, in some cases, to comply with Colorado insurance regulations pertaining to recordkeeping and notification requirements.

    - **Disposition:** Matter closed. Fine of $1,000 paid.

  - **Details #2:**

    - **Entity Name:** Thrivent Financial for Lutherans

    - **Action Title:** Consent Order Imposing a Fine

    - **Action Date:** 12/08/2006

    - **Court/Body Name and Location:** Office of Insurance Commissioner of State of Washington

    - **Action Description:** Alleged failure to file in a timely manner certain annual statements.

    - **Disposition:** Matter closed. Fine of $13,200 paid.

  - **Details #3:**

    - **Entity Name:** Thrivent Financial for Lutherans

    - **Action Title:** Stipulation and Settlement Agreement

    - **Action Date:** 12/10/2009

    - **Court/Body Name and Location:** Commissioner of the Ofc. of Financial and Insurance Reg. of the State of MI

    - **Action Description:** Failure to report the completion of continuing education courses in a timely manner.

    - **Disposition:** Matter closed. Market conduct fee of $1,500 paid.

  - **Details #4:**

    - **Entity Name:** Thrivent Financial for Lutherans

    - **Action Title:** Consent Order

    - **Action Date:** 08/07/2012

    - **Court/Body Name and Location:** Maryland Insurance Administration (MIA)

    - **Action Description:** Routine market conduct examination resulted in the following findings with respect to life and other insurance policies: Failure (1) to label certain illustrations as "revised" illustrations," (2) to include rider's name in policy summary, (3) to submit form of benefit certificate to MIA for approval and (4) to identify each claim with a unique number.

    - **Disposition:** Matter closed. $8,000 fee paid.

  - **Details #5:**

    - **Entity Name:** Thrivent Financial for Lutherans

    - **Action Title:** Stipulation and Order

    - **Action Date:** 09/20/2013

    - **Court/Body Name and Location:** Office of the Commissioner of Insurance of the State of Wisconsin

    - **Action Description:** Late filing of Form D

    - **Disposition:** Fine of $5,000 paid

  - **Details #6:**

    - **Entity Name:** Thrivent Trust Company

    - **Action Title:** Consent Order Imposing a Fine

    - **Action Date:** 08/25/2014

    - **Court/Body Name and Location:** Federal Deposit Insurance Corporation (FDIC)

    - **Action Description:** Failure to timely pay a quarterly assessment.

    - **Disposition:** Fine of $300 paid.

  - **Details #7:**

    - **Entity Name:** Thrivent Financial for Lutherans

    - **Action Title:** Stipulation and Consent Order ("Order")

    - **Action Date:** 02/23/2015

    - **Court/Body Name and Location:** State of Illinois Department of Insurance ("IL DOI")

    - **Action Description:** A routine market conduct examination report cited a few areas in which the Department felt that TFL and TLIC were not in full compliance with some elements of the Illinois Insurance Code. The areas were timely payment of claims, appropriate terms for authorization forms, and the handling of complaints.

    - **Disposition:** Without admitting fault, liability or wrongdoing, TFL and TLIC agreed to a Stipulation & Consent Order pursuant to which within 30 days it will pay to the IL DOI a $12,000 civil forfeiture and submit proof of compliance with the areas cited in the Order.

  - **Details #8:**

    - **Entity Name:** Thrivent Investment Management Inc.

    - **Action Title:** Stipulation To Entry Of Consent Order

    - **Action Date:** 07/10/2020

    - **Court/Body Name and Location:** Illinois Securities Department

    - **Action Description:** The Department's Consent Order recited that Thrivent Investment Management Inc. ("TIMI") failed to maintain appropriate books-and-records, in violation of the Illinois Securities Act, Section 8.E.1(q). The basis for the Section 8.E.1(q) violation related to certain instances, during the period January 1, 2011 to June 30, 2014, in which TIMI representatives and supervisors failed to make appropriate documentation regarding the suitability of certain variable annuity ("VA") replacement transactions.

    - **Disposition:** Without admitting or denying the Findings of Fact or Conclusions of Law, but (consistent with the Stipulation) TIMI acknowledged that the Consent Order could be entered and agreed to make a monetary payment of $400,000, which it paid on July 24, 2020.

  - **Details #9:**

    - **Entity Name:** Thrivent Investment Management Inc.

    - **Action Title:** Consent Order

    - **Action Date:** 11/01/2022

    - **Court/Body Name and Location:** Missouri Secretary of State Securities Division

    - **Action Description:** The Consent Order recited that Thrivent Investment Management Inc. ("TIMI") submitted to the Missouri Securities Division a registration application for one of its agents that failed to disclose a prior customer complaint against the agent and did not file a correcting amendment of the agent's Form U-4 within the required thirty-day period, in violation of 15 CSR 30-51.160(3)(A) and Section 409.4-411(c)(1).

    - **Disposition:** TIMI neither admitted nor denied the allegations made or the Findings of Fact or Conclusions of law but entered into a Consent Order and agreed to make a monetary payment of $2,000, which was paid on November 1, 2022.

- **Federal/State agency denied, suspended, or revoked authorization?:** No

- **Federal/State agency entered an order against the applicant?:** Yes

  - **Details #1:**

    - **Entity Name:** Thrivent Investment Management Inc.

    - **Action Title:** Stipulation To Entry Of Consent Order

    - **Action Date:** 07/10/2020

    - **Court/Body Name and Location:** Illinois Securities Department

    - **Action Description:** The Department's Consent Order recited that Thrivent Investment Management Inc. ("TIMI") failed to maintain appropriate books-and-records, in violation of the Illinois Securities Act, Section 8.E.1(q). The basis for the Section 8.E.1(q) violation related to certain instances, during the period January 1, 2011 to June 30, 2014, in which TIMI representatives and supervisors failed to make appropriate documentation regarding the suitability of certain variable annuity ("VA") replacement transactions.

    - **Disposition:** Without admitting or denying the Findings of Fact or Conclusions of Law, but (consistent with the Stipulation) TIMI acknowledged that the Consent Order could be entered and agreed to make a monetary payment of $400,000, witch it paid on July 24, 2020.

  - **Details #2:**

    - **Entity Name:** Thrivent Investment Management Inc.

    - **Action Title:** Consent Order

    - **Action Date:** 11/01/2022

    - **Court/Body Name and Location:** Missouri Secretary of State Securities Division

    - **Action Description:** The Consent Order recited that Thrivent Investment Management Inc. ("TIMI") submitted to the Missouri Securities Division a registration application for one of its agents that failed to disclose a prior customer complaint against the agent and did not file a correcting amendment of the agent's Form U-4 within the required thirty-day period, in violation of 15 CSR 30-51.160(3)(A) and Section 409.4-411(c)(1).

    - **Disposition:** TIMI neither admitted nor denied the allegations made or the Findings of Fact or Conclusions of law but entered into a Consent Order and agreed to make a monetary payment of $2,000, which was paid on November 1, 2022.

- **Federal/State agency denied, suspended, or revoked registration?:** No

- **Federal/State agency revoked or suspended a license?:** No

- **SRO found a false statement or omission?:** No

- **SRO found a violation of its rules?:** Yes

  - **Details #1:**

    - **Entity Name:** Thrivent Investment Management Inc.

    - **Action Title:** Letter of Acceptance, Waiver and Consent

    - **Action Date:** 12/18/2014

    - **Court/Body Name and Location:** Financial Industry Regulatory Authority ("FINRA")

    - **Action Description:** FINRA alleged that Thrivent Investment Management Inc. ("Thrivent") violated SEC Rule 10B-10, NASD Conduct Rules 2230 and 2110 and FINRA Rules 2232 and 2010 by failing to deliver trade confirmations to Thrivent Mutual Fund shareholders pertaining to certain one-time and certain other mutual fund share redemptions.

    - **Disposition:** Without admitting or denying any finding, Thrivent agreed to a censure and fine of $375,000, which it paid on December 30, 2014.

  - **Details #2:**

    - **Entity Name:** Thrivent Investment Management Inc.

    - **Action Title:** Letter of Acceptance, Waiver & Consent ("AWC")

    - **Action Date:** 08/09/2018

    - **Court/Body Name and Location:** Financial Industry Regulatory Authority ("FINRA")

    - **Action Description:** The AWC alleged that Thrivent Investment Management Inc. (TIMI) violated NASD Rule 3010 and FINRA Rules 3110 and 2010 by failing to reasonably supervise mutual fund sales to ensure eligible customers received the benefit of applicable sales charge waivers and breakpoint discounts.

    - **Disposition:** TIMI identified customers who did not receive appropriate sales charge waivers or breakpoint discounts and made restitution. Without admitting or denying allegations, TIMI consented to the AWC. FINRA recognized its extraordinary cooperation.

- **SRO denied, suspended, or revoked authorization?:** No

- **SRO revoked or suspended a license?:** No

- **Subject of an order or finding by a foreign financial regulatory authority?:** No

- **Currently the subject of any proceeding that could result in a 'yes' answer to any of the above?:** No

- **Had a bond revoked for disorderly conduct, fraud, or dishonesty?:** No

- **Have any unsatisfied judgments or liens against them?:** No

### Signature

**Signature:** /s/ Jill M. Forte

**Title:** Chief Legal Officer and Secretary

**Date:** 02/23/2023

**Phone Number:** 612-844-4581