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 |
|---|---|---|---|---|---|---|---|---|
| Scott Arthur Dewitz | 1770432 | 2 | 05/16/2022 | Customer Dispute | Closed-No Action | $8,000.00 | $0.00 | See FINRA Report |
| Cedric Percell Powell | 3249130 | 4 | 07/14/2021 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Randy K Risdon | 2436168 | 2 | 05/11/2020 | Customer Dispute | Closed-No Action | $10,000.00 | $0.00 | See FINRA Report |
| Kwan-Rok Kong | 5288982 | 4 | 03/16/2020 | Customer Dispute | Closed-No Action | $73,870.20 | $0.00 | See FINRA Report |
| Peter Michael Heidt | 2843626 | 1 | 02/08/2020 | Customer Dispute | Closed-No Action | $200,000.00 | $0.00 | See FINRA Report |
| John Wai Cheang | 2206607 | 1 | 02/05/2020 | Customer Dispute | Closed-No Action | $20,000.00 | $0.00 | See FINRA Report |
| Thomas Alan Taylor | 2373630 | 2 | 10/30/2019 | Customer Dispute | Closed-No Action | $12,000.00 | $0.00 | See FINRA Report |
| Gautam B Bose | 2426395 | 3 | 04/04/2019 | Customer Dispute | Closed-No Action | $59,000.00 | $0.00 | See FINRA Report |
| Mohsen Babaeian | 6087190 | 2 | 06/27/2018 | Customer Dispute | Closed-No Action | $12,750.00 | $0.00 | See FINRA Report |
| Ronald C Denova | 1673284 | 1 | 01/25/2018 | Customer Dispute | Closed-No Action | $11,885.10 | $0.00 | See FINRA Report |