Thrivent Financial for Lutherans Foundation

Initial Business Response / [redacted] (1000, 6, 2016/03/03) */ Please see the attached response Insurance products issued or offered by Thrivent Financial, the marketing name for Thrivent Financial for Lutherans, Appleton, WINot all products are available in all statesSecurities and investment advisory services are offered through Thrivent Investment Management Inc., Fourth AveS., Minneapolis, MN 55415, a FINRA and SIPC member and a wholly owned subsidiary March 3, Revdex.com of Minnesota and North Dakota Attention Taylor Keate, Mediation Coordinator SRiver Ridge Cir Burnsville, MN RE: Case # Complainant: [redacted] Dear MS [redacted] This letter is in response to the complaint received in your office on February 17, 2016, from [redacted] regarding mailings that were being sent to his address from Thrivent FinancialThank you for the extension granted to March 3, Mr [redacted] contacted Thrivent involving mailings he had been receiving at his address for individuals who did not reside thereMr [redacted] is not a member of Thrivent and is not in our system as either a former or prospective member, thus we have nothing in our databases attached to his nameOur records indicated Mr [redacted] contacted our customer service area on the following dates: o December 2, - Mr [redacted] contacted our call center for assistance, however the call was disconnected before our customer service representative (CSP) could get contact information for Mr [redacted] o December 15, - Mr [redacted] contacted our call centerThe CSP attempted to assist Mr [redacted] prior to transferring him to Bob [redacted] as an escalated callThe call was disconnected prior to Bob being able to obtain information necessary to research the matter o February 16, - Mr [redacted] contacted our call center multiple times before being transferred to Bob [redacted] as an escalated callBob was able to obtain additional information from Mr [redacted] to research the matter further o February 17, - Mr [redacted] contacted our call center requesting to speak with someone in Thrivent's legal departmentHis call was eventually routed to Lisa [redacted] a manager in Thrivent's call centerLisa arranged to call Mr [redacted] back after having the opportunity to research the matter further on his behalfAt the direction of Lisa [redacted] Ann [redacted] called Mr [redacted] The call ended abruptlyMr [redacted] called back asking for information about Thrivent's legal area o February 18, - Mr [redacted] called to speak to Ann [redacted] Later that same day he called again asking to speak to Bob [redacted] of ThriventFor additional Important information, visit Thrivent.com/disclosures ________________ Revdex.com of Minnesota and North Dakota, page March 3, Our review of the matter found there were two individuals in Thrivent's system with the same address as Mr [redacted] The address for these individuals had been changed several years ago, however, due to a status change involving each of the members the address reverted to their prior address which is where Mr [redacted] currently residesOne party's address had been updated in November when a piece of mail was returned to usThe other party's address was updated after Mr [redacted] called to alert us of the matter In the course of working with Thrivent's call center to resolve the matter, Mr [redacted] spoke to Thrivent Senior Litigation Attorney Wayne LuckBecause of the frequency and the demeanor of Mr [redacted] 's calls, all of Mr [redacted] 's calls are now being routed to Attorney Luck Mr [redacted] was verbally informed the addresses have been updated for the individuals involvedA follow up letter has been sent making him aware of this as well (copy attached) If you need additional information, please contact me at XXX-XXX-XXXX; say "directory" and enter extension XXXXXXXYou may also contact me via e-mail at [redacted] Sincerely, Kelly [redacted] Compliance/Regulatory Analyst Member Relations March 3, [redacted] Bengal Lane Plano, TX XXXXX Re: Address issue Dear Mr [redacted] , Wayne Luck, Senior Counsel for Thrivent Financial, asked that I contact you regarding the issues you experienced with the Thrivent mailings being sent to your address Our review of the matter found there were two individuals in Thrivent's system with the same address as yoursThe address for these individuals had been changed several years ago, however, due to status changes the address reverted to their prior address which is where you currently resideOne party's address was updated in November when a piece of mail was returned to usThe other was updated when you contacted our office last monthWe apologize for the confusion this caused you You shared another piece of mail you recently received with Attorney LuckOur records show a letter was generated after the address was changedTo protect against unauthorized changes, it is our process to mail a letter to the new address and the former addressAlso, there may be some residual mailings that occur due to mailing lists that were generated prior to the correction taking placeWe do not anticipate you receiving anything beyond 4-weeks after February 16, If you have additional questions involving this matter, please contact Attorney Wayne Luck at XXX-XXX-XXXX Sincerely, Kelly [redacted] Compliance/Regulatory Analyst Member Relations CC Wayne Luck, Senior Counsel insurance products Issued or offered by Thrivent Financial, the marketing name for Thrivent Financial for Lutherans, Appleton, WI, Not all products are available in all statesSecurities and investment advisory services are offered through thrivent investment Management Inc., Fourth AveS., Minneapolis, MN 55415, a FINRA and SIPC member and a wholly owned subsidiary of ThriventFor additional important information, visit Thrivent.com/disclosures,

Initial Business Response / [redacted] (1000, 5, 2014/10/03) */ We provided this email response to the complainant on 10/3/2014: Hello Mr [redacted] , We received your complaint via the Revdex.com and have investigated the matterWe found that you were listed in our records as having an active contract relationship with Aid Association for Lutherans, now known as Thrivent FinancialThis stemmed back to a major medical policy on which you were a covered childThis record should have previously been marked 'inactive'We have made that correction and all mailings from Thrivent Financial should now cease We apologize for your inconvenienceIf any further problems arise, please contact me directly using the information provided below Thank you, [redacted] A(***) [redacted] , FIC, ACS Compliance/Regulatory Analyst Thrivent Financial Member Relations [redacted] , Appleton, WI 54919- Direct: [redacted] Fax: [redacted] Toll-free: [redacted] , "Directory," ext [redacted] Email: [redacted] @thrivent.com

Initial Business Response /* (1000, 6, 2016/03/03) */
Please see the attached response.
Insurance products issued or offered by Thrivent Financial, the marketing name for Thrivent Financial for Lutherans, Appleton, WI. Not all products are available in all states. Securities and investment...

advisory services are offered through Thrivent Investment Management Inc., 625 Fourth Ave. S., Minneapolis, MN 55415, a FINRA and SIPC member and a wholly owned subsidiary
March 3, 2016
Revdex.com of Minnesota and North Dakota Attention Taylor Keate, Mediation Coordinator 220 S. River Ridge Cir.
Burnsville, MN 55337
RE: Case # 573.24566
Complainant: [redacted]
Dear MS. [redacted]
This letter is in response to the complaint received in your office on February 17, 2016, from [redacted] regarding mailings that were being sent to his address from Thrivent Financial. Thank you for the extension granted to March 3, 2016.
Mr. [redacted] contacted Thrivent involving mailings he had been receiving at his address for individuals who did not reside there. Mr. [redacted] is not a member of Thrivent and is not in our system as either a former or prospective member, thus we have nothing in our databases attached to his name. Our records indicated Mr. [redacted] contacted our customer service area on the following dates:
o December 2, 2015 - Mr. [redacted] contacted our call center for assistance, however the call was disconnected before our customer service representative (CSP) could get contact information for Mr. [redacted].
o December 15, 2015 - Mr. [redacted] contacted our call center. The CSP attempted to assist Mr. [redacted] prior to transferring him to Bob [redacted] as an escalated call. The call was disconnected prior to Bob being able to obtain information necessary to research the matter.
o February 16, 2015 - Mr. [redacted] contacted our call center multiple times before being transferred to Bob [redacted] as an escalated call. Bob was able to obtain additional information from Mr. [redacted] to research the matter further.
o February 17, 2015 - Mr. [redacted] contacted our call center requesting to speak with someone in Thrivent's legal department. His call was eventually routed to Lisa [redacted] a manager in Thrivent's call center. Lisa arranged to call Mr. [redacted] back after having the opportunity to research the matter further on his behalf. At the direction of Lisa [redacted] Ann [redacted] called Mr. [redacted]. The call ended abruptly. Mr. [redacted] called back asking for information about Thrivent's legal area.
o February 18, 2016 - Mr. [redacted] called to speak to Ann [redacted] Later that same day he called again asking to speak to Bob [redacted]
of Thrivent. For additional Important information, visit Thrivent.com/disclosures.
________________
Revdex.com of Minnesota and North Dakota, page 2 March 3, 2016
Our review of the matter found there were two individuals in Thrivent's system with the same address as Mr. [redacted]. The address for these individuals had been changed several years ago, however, due to a status change involving each of the members the address reverted to their prior address which is where Mr. [redacted] currently resides. One party's address had been updated in November 2015 when a piece of mail was returned to us. The other party's address was updated after Mr. [redacted] called to alert us of the matter.
In the course of working with Thrivent's call center to resolve the matter, Mr. [redacted] spoke to Thrivent Senior Litigation Attorney Wayne Luck. Because of the frequency and the demeanor of Mr. [redacted]'s calls, all of Mr. [redacted]'s calls are now being routed to Attorney Luck.
Mr. [redacted] was verbally informed the addresses have been updated for the individuals involved. A follow up letter has been sent making him aware of this as well (copy attached).
If you need additional information, please contact me at XXX-XXX-XXXX; say "directory" and enter extension XXXXXXX. You may also contact me via e-mail at [redacted]
Sincerely,
Kelly [redacted] Compliance/Regulatory Analyst Member Relations
March 3, 2016
[redacted] 2429 Bengal Lane Plano, TX XXXXX
Re: Address issue
Dear Mr. [redacted],
Wayne Luck, Senior Counsel for Thrivent Financial, asked that I contact you regarding the issues you experienced with the Thrivent mailings being sent to your address.
Our review of the matter found there were two individuals in Thrivent's system with the same address as yours. The address for these individuals had been changed several years ago, however, due to status changes the address reverted to their prior address which is where you currently reside. One party's address was updated in November 2015 when a piece of mail was returned to us. The other was updated when you contacted our office last month. We apologize for the confusion this caused you.
You shared another piece of mail you recently received with Attorney Luck. Our records show a letter was generated after the address was changed. To protect against unauthorized changes, it is our process to mail a letter to the new address and the former address. Also, there may be some residual mailings that occur due to mailing lists that were generated prior to the correction taking place. We do not anticipate you receiving anything beyond 4-6 weeks after February 16, 2016.
If you have additional questions involving this matter, please contact Attorney Wayne Luck at XXX-XXX-XXXX.
Sincerely,
Kelly
[redacted] Compliance/Regulatory Analyst Member Relations
CC Wayne Luck, Senior Counsel
insurance products Issued or offered by Thrivent Financial, the marketing name for Thrivent Financial for Lutherans, Appleton, WI, Not all products are available in all states. Securities and investment advisory services are offered through thrivent investment Management Inc., 625 Fourth Ave. S., Minneapolis, MN 55415, a FINRA and SIPC member and a wholly owned subsidiary of Thrivent. For additional important information, visit Thrivent.com/disclosures,

Initial Business Response /* (1000, 5, 2014/10/03) */
We provided this email response to the complainant on 10/3/2014:
Hello Mr. [redacted],
We received your complaint via the Revdex.com and have investigated the matter. We found that you were listed in our records as having an...

active contract relationship with Aid Association for Lutherans, now known as Thrivent Financial. This stemmed back to a major medical policy on which you were a covered child. This record should have previously been marked 'inactive'. We have made that correction and all mailings from Thrivent Financial should now cease.
We apologize for your inconvenience. If any further problems arise, please contact me directly using the information provided below.
Thank you,
[redacted] A. ([redacted], FIC, ACS
Compliance/Regulatory Analyst
Thrivent Financial Member Relations
[redacted], Appleton, WI 54919-0001
Direct: [redacted]
Fax: [redacted]
Toll-free: [redacted], "Directory," ext. [redacted]
Email: [redacted]@thrivent.com