Our Staff has compiled our research into a database of FINRA Broker Disclosures for American Enterprise Investment Services Inc.. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Heather Trisa Gottbrath | 5145107 | 3 | 03/07/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Karen Jean Cerasa Dotson | 2959050 | 6 | 12/27/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Karen Jean Cerasa Dotson | 2959050 | 6 | 11/27/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Karen Jean Cerasa Dotson | 2959050 | 6 | 11/27/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Trisha Nicole Quinnell | 3102342 | 1 | 12/01/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Devin Reed Eldridge | 2981003 | 1 | 08/05/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Heather Trisa Gottbrath | 5145107 | 3 | 07/12/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Heather Trisa Gottbrath | 5145107 | 3 | 04/13/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mindy Ione Hildre | 4064095 | 1 | 09/05/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Norman E Gaskins | 4485116 | 1 | 06/30/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |