Our Staff has compiled our research into a database of FINRA Broker Disclosures for Ameriprise Financial Services, LLC. 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 |
|---|---|---|---|---|---|---|---|---|
| Brian Joseph Dillon | 1928799 | 1 | 03/15/1994 | Customer Dispute | Award / Judgment | $7,656.00 | $1,690.00 | See FINRA Report |
| MacE Barry Tamse | 1059666 | 6 | 01/11/1994 | Customer Dispute | Award / Judgment | $0.00 | $25,000.00 | See FINRA Report |
| John Holmes Wellington | 1314741 | 1 | 01/10/1994 | Customer Dispute | Award / Judgment | $5,000.00 | $1,573.50 | See FINRA Report |
| William Charles Martin | 730943 | 4 | 03/12/1993 | Customer Dispute | Award / Judgment | $9,999.99 | $5,000.00 | See FINRA Report |
| Larry Don Graham | 1433652 | 3 | 03/12/1993 | Customer Dispute | Award / Judgment | $4,700.00 | $4,698.00 | See FINRA Report |
| William Albert Roberts | 401188 | 3 | 02/12/1993 | Customer Dispute | Award / Judgment | $89,012.10 | $13,000.00 | See FINRA Report |
| Mark Howard Richmond | 1101238 | 4 | 08/06/1992 | Customer Dispute | Award / Judgment | $28,537.00 | $2,500.00 | See FINRA Report |
| Mark Donald Kendall | 1980080 | 2 | 06/25/1992 | Customer Dispute | Award / Judgment | $25,877.00 | $18,000.00 | See FINRA Report |
| John Edward Burg | 1477208 | 1 | 05/26/1992 | Customer Dispute | Award / Judgment | $32,272.70 | $16,650.00 | See FINRA Report |
| Robert Arthur Bonwell | 25792 | 1 | 05/04/1992 | Customer Dispute | Award / Judgment | $350,000.00 | $250,000.00 | See FINRA Report |