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 |
|---|---|---|---|---|---|---|---|---|
| Mohsen Babaeian | 6087190 | 2 | 04/13/2017 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
| Thomas Lanier Chandler | 2303483 | 1 | 09/03/2014 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Kable Martin Doria | 2971369 | 1 | 09/03/2014 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Jill Syracuse | 4544251 | 1 | 06/24/2011 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Shannon Kelly Klug | 2451747 | 3 | 06/24/2011 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Henry Jay Guzzo | 2923132 | 1 | 06/24/2011 | Civil | Final | $0.00 | $0.00 | See FINRA Report |