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 |
|---|---|---|---|---|---|---|---|---|
| Fouad Hussein Zeaiter | 1620749 | 5 | 09/22/2004 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Dennis Jay Persky | 708583 | 4 | 09/13/2004 | Customer Dispute | Closed-No Action | $315,000.00 | $0.00 | See FINRA Report |
| Timothy Lazcano | 2995929 | 1 | 07/12/2004 | Customer Dispute | Closed-No Action | $30,000.00 | $0.00 | See FINRA Report |
| Michael Stallone | 4535044 | 3 | 06/22/2004 | Customer Dispute | Closed-No Action | $13,809.00 | $0.00 | See FINRA Report |
| Rick David Groeschl | 1844214 | 4 | 04/05/2004 | Customer Dispute | Closed-No Action | $22,700.00 | $0.00 | See FINRA Report |
| Shonn See Rutledge | 2097533 | 2 | 03/01/2004 | Customer Dispute | Closed-No Action | $0.00 | $4,937.00 | See FINRA Report |
| Clarence William Row | 1485294 | 2 | 02/04/2004 | Customer Dispute | Closed-No Action | $6,556.00 | $0.00 | See FINRA Report |
| Eric G Davis | 2409535 | 2 | 01/20/2004 | Customer Dispute | Closed-No Action | $25,000.00 | $0.00 | See FINRA Report |
| Randolph James Tate | 4157177 | 3 | 12/15/2003 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Steven William Link | 2223522 | 7 | 11/26/2003 | Customer Dispute | Closed-No Action | $18,000.00 | $0.00 | See FINRA Report |