SHAWN ERIC STEFFENS at THRIVENT INVESTMENT MANAGEMENT INC. – View Complaints, Disclosures, Scams and Audit Report (Updated 2023)



CRD# 4953541

Disclosure #1 for SHAWN STEFFENS

    • Event Date: 9/29/2015
    • Disclosure Type: Customer Dispute
    • Disclosure Resolution: Settled
    • Disclosure Detail :: Allegations: Customer alleged that the fees on the two variable annuities he purchased in 2012 were not accurately disclosed and that the annuities were not suitable for his situation. Customer requested waiver of the surrender charges.
    • Settlement Amount: $23,180.89
    • Arbitration Docket Number:
    • Broker Comment: The Firm initially found no basis for the customer’s allegations and denied the complaint. The customer appealed the Firm’s decision, at which time the Firm made the decision to compromise and offered to waive surrender charges to resolve the matter.

Should I file a FINRA complaint against brokers like SHAWN ERIC STEFFENS?

Many investors (presumably, like yourself) are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who lost money in this fashion may actually be entitled to damages. You may suffer significant losses at the hands of your financial advisors’ misconduct, such as if they misrepresented or failed to disclose the risks associated with a particular investment, recommended frequent trades for the sole purpose of generating commissions, or used high-pressure tactics to make a sale. The rules and regulations of securities laws and FINRA policies are complex, and investment loss claims require an extensive understanding of securities arbitration to achieve the best possible results.

Update – 2022.11.15If you have suffered investment losses that may have been caused by SHAWN ERIC STEFFENS’s negligence or fraud, contact a FINRA lawyer today. Most FINRA lawyers work on a contingency fee basis, meaning that you will not be charged for their services unless they successfully collect money for you. Kindly add a comment, or contact us directly if you have any query, or want to be contacted by a FINRA lawyer today! helps you make informed choices about brokers and brokerage firms and provides easy access to investment adviser information. Our database reports whether a person or firm is registered, as required by law, to sell securities (stocks, bonds, mutual funds, and more), offer investment advice, or both. We provide you with a snapshot of a broker’s employment history, regulatory actions, investment-related licensing information, arbitrations, and complaints, and allow users to share their experiences and reviews with these brokers and brokerage firms.

Frequently Asked Questions About SHAWN ERIC STEFFENS

What is SHAWN STEFFENS’s Central Registration Depository (CRD) Number?

Which firm is SHAWN ERIC STEFFENS associated with?


Where is SHAWN STEFFENS located?


Where can I find more details about SHAWN STEFFENS’s Investment Firm?

Visit to read a detailed report for THRIVENT INVESTMENT MANAGEMENT INC.

Are there any disclosures, allegations or complaints filed against SHAWN ERIC STEFFENS?

Yes. There are disclosures, allegations, or complaints filed against SHAWN ERIC STEFFENS. Click here to view all details

Where can I download a detailed FINRA report for SHAWN STEFFENS?

Click here to download a detailed FINRA report for SHAWN STEFFENS

Is it safe to do business with SHAWN ERIC STEFFENS?

We’re not sure. Please research SHAWN STEFFENS’s disclosures, allegations and complaints before taking a decision

Originally posted on November 17, 2022 @ 8:42 pm



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