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 |
|---|---|---|---|---|---|---|---|---|
| Jonathan Robert Root | 3053059 | 2 | 07/02/2007 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Martin Dwayne Mc Farling | 4271041 | 4 | 06/07/2007 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| James John Philippeaux | 2862710 | 1 | 05/08/2007 | Customer Dispute | Closed-No Action | $10,000.00 | $0.00 | See FINRA Report |
| Steven Nord Dahlquist | 59877 | 4 | 04/03/2007 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Paul Gerard Kropatsch | 2826638 | 2 | 02/02/2007 | Customer Dispute | Closed-No Action | $500,000.00 | $0.00 | See FINRA Report |
| Steven Nord Dahlquist | 59877 | 4 | 01/23/2007 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Jeff Charles Gilbert | 1693102 | 2 | 01/03/2007 | Customer Dispute | Closed-No Action | $17,000.00 | $0.00 | See FINRA Report |
| Corrado Aurelio Dell'Aglio | 2076617 | 2 | 12/29/2006 | Customer Dispute | Closed-No Action | $8,600.00 | $0.00 | See FINRA Report |
| Mark Richard Duval | 1460289 | 1 | 12/14/2006 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Christopher Douglas Myers | 2114383 | 2 | 11/13/2006 | Customer Dispute | Closed-No Action | $175,000.00 | $0.00 | See FINRA Report |