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 |
|---|---|---|---|---|---|---|---|---|
| Pablo Avina | 2670288 | 2 | 10/21/2003 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| John Thomas Lentini | 1050628 | 2 | 10/20/2003 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Stephen Ronald Baumgartner | 2461934 | 1 | 09/12/2003 | Customer Dispute | Closed-No Action | $28,346.00 | $0.00 | See FINRA Report |
| Mauri Duane Hendrickson | 2136257 | 10 | 09/03/2003 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Eric Leroy Prall | 1068456 | 1 | 08/05/2003 | Customer Dispute | Closed-No Action | $104,750.00 | $0.00 | See FINRA Report |
| Paul David Carlson | 1021718 | 4 | 07/24/2003 | Customer Dispute | Closed-No Action | $30,000.00 | $0.00 | See FINRA Report |
| Ruben Segovia | 2124274 | 1 | 07/23/2003 | Customer Dispute | Closed-No Action | $28,000.00 | $0.00 | See FINRA Report |
| Andrew Edward Fugazzi | 1024114 | 1 | 07/08/2003 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Melford George Brown | 2501003 | 3 | 06/05/2003 | Customer Dispute | Closed-No Action | $8,903.00 | $0.00 | See FINRA Report |
| Adrian Davis de Montluzin | 2369604 | 1 | 04/16/2003 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |