X0405 TA-1/A 0000817712 XXXXXXXX 084-01547 true LIVE SEC THRIVENT FINANCIAL INVESTOR SERVICES INC /TA 473165 4321 N. Ballard Road Appleton WI 54919 Y 901 Marquette Avenue Suite 2500 MINNEAPOLIS MN 55402-3211 612-844-4581 N Y Y DST Systems, Inc. 084-00448 301 W. 11th Street Kansas City MO 64105 N Corporation Cynthia Jean Nigbur 10/01/2002 Assistant Secretary NA Thrivent Financial Holdings, Inc. 01/01/2002 Parent Company E true Kathleen Marie Koelling 06/27/2011 Privacy Officer NA true Michael Walden Kremenak 06/05/2013 Director NA Kathryn Ann Stelter 06/16/2014 VP & Chief Operations Officer NA true 05/31/2022 David Scott Royal 12/12/2014 Director NA true Edward Stuart Dryden 03/20/2015 Chief Compliance Officer NA true Gerard Vincent Vaillancourt 01/01/2015 Director and President NA true 07/01/2022 Jason Daniel Sterling 06/02/2015 Assistant Operations Officer NA true Ryan Francis Conroy 06/20/2016 Assistant Operations Officer NA true 07/01/2022 Jill Marie Forte 06/28/2017 Chief Legal Officer and Secretary NA true Jason Tyler Schmidt 06/28/2018 Assistant Operations Officer NA true Jeffrey David Cloutier 06/05/2019 Chief Financial Officer NA true Sharon Kay Minta 08/14/2019 Anti-Money Laundering Officer NA true 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 true Stephen Charles Kennedy 07/01/2022 President NA true Andrew Ray Kellogg 07/01/2022 Vice President, Chief Operations Officer NA true Y Thrivent Financial for Lutherans TFL is the parent company of Thrivent Financial Holdings, Inc. N N N N N N N N N N Y Thrivent Financial for Lutherans In the Matter of the Market Conduct Examination of Thrivent Financial 03/10/2006 Colorado Division of Insurance 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. Matter closed. Fine of $1,000 paid. Thrivent Financial for Lutherans Consent Order Imposing a Fine 12/08/2006 Office of Insurance Commissioner of State of Washington Alleged failure to file in a timely manner certain annual statements. Matter closed. Fine of $13,200 paid. Thrivent Financial for Lutherans Stipulation and Settlement Agreement 12/10/2009 Commissioner of the Ofc. of Financial and Insurance Reg. of the State of MI Failure to report the completion of continuing education courses in a timely manner. Matter closed. Market conduct fee of $1,500 paid. Thrivent Financial for Lutherans Consent Order 08/07/2012 Maryland Insurance Administration (MIA) 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. Matter closed. $8,000 fee paid. Thrivent Financial for Lutherans Stipulation and Order 09/20/2013 Office of the Commissioner of Insurance of the State of Wisconsin Late filing of Form D Fine of $5,000 paid Thrivent Trust Company Consent Order Imposing a Fine 08/25/2014 Federal Deposit Insurance Corporation (FDIC) Failure to timely pay a quarterly assessment. Fine of $300 paid. Thrivent Financial for Lutherans Stipulation and Consent Order ("Order") 02/23/2015 State of Illinois Department of Insurance ("IL DOI") 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. 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. Thrivent Investment Management Inc. Stipulation To Entry Of Consent Order 07/10/2020 Illinois Securities Department 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. 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. N Y Thrivent Investment Management Inc. Stipulation To Entry Of Consent Order 07/10/2020 Illinois Securities Department 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. 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. N N N Y Thrivent Investment Management Inc. Letter of Acceptance, Waiver and Consent 12/18/2014 Financial Industry Regulatory Authority ("FINRA") 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. Without admitting or denying any finding, Thrivent agreed to a censure and fine of $375,000, which it paid on December 30, 2014. Thrivent Investment Management Inc. Letter of Acceptance, Waiver & Consent ("AWC") 08/09/2018 Financial Industry Regulatory Authority ("FINRA") 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. 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. N N N N N N /s/ Jill M. Forte 612-844-4581 Chief Legal Officer and Secretary 07/26/2022