Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on December 7, 2017 indicate that Minnesota-based Thrivent Investment Management broker/adviser Carol Woods has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Woods (CRD# 5637227).
Carol Woods has spent eight years in the securities industry and has been registered with Thrivent Investment Management in Shakopee, Minnesota since 2009. She has no previous registrations. She has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination), which she obtained on October 1, 2009, and Series 7 (General Securities Representative Examination), which she obtained in June 17, 2009. She is a registered broker and investment adviser with six US states and territories: Florida, Georgia, Illinois, Minnesota, New Mexico, and North Dakota. She is registered with one self-regulatory organization (SRO), FINRA.
According to his BrokerCheck report, she has received one pending customer complaint.
In September 2017 a customer alleged Carol Woods, while employed at Thrivent Investment Management, performed unauthorized withdrawals from her variable annuity contract starting in May 2015, and never provided advice or information regarding the tax consequences regarding distributions she started taking from the contract in 2014. The customer is seeking more than $418,300 in damages in the pending complaint.
If you or someone you know has lost money investing with Carol Woods or Thrivent Investment Management, call the experienced attorneys at Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: we only get paid if and when you collect money. Time to file your claim may be limited by law, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.