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 |
|---|---|---|---|---|---|---|---|---|
| Geraldine Gordon | 2499098 | 9 | 07/08/2002 | Customer Dispute | Closed-No Action | $250,000.00 | $0.00 | See FINRA Report |
| Scott Gerhart McRoy | 1511853 | 1 | 06/12/2002 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Daniel John Harper | 1454610 | 1 | 06/07/2002 | Customer Dispute | Closed-No Action | $12,075.00 | $0.00 | See FINRA Report |
| Clarence Earl Marshall | 1089058 | 1 | 05/30/2002 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Mauri Duane Hendrickson | 2136257 | 10 | 05/24/2002 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Kevin Jay Hermening | 2070967 | 6 | 05/23/2002 | Customer Dispute | Closed-No Action | $10,800.00 | $0.00 | See FINRA Report |
| David Alan Hirokane | 2739089 | 2 | 04/16/2002 | Customer Dispute | Closed-No Action | $202,961.00 | $0.00 | See FINRA Report |
| John Joseph Crespy | 4179566 | 1 | 04/15/2002 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Ralph Gunther Haebich | 1922142 | 3 | 04/03/2002 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Paul Raynard Bateman | 2419936 | 1 | 03/26/2002 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |