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 |
|---|---|---|---|---|---|---|---|---|
| Alika Christian Garcia | 2298506 | 3 | 11/02/2017 | Customer Dispute | Closed-No Action | $100,000.00 | $0.00 | See FINRA Report |
| Daniel D Miller | 6323176 | 1 | 10/19/2017 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| John Edward Venable | 3267795 | 1 | 08/03/2017 | Customer Dispute | Closed-No Action | $242,000.00 | $0.00 | See FINRA Report |
| Kenneth Alan Butdorf | 4962743 | 1 | 09/16/2016 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Daniel Joseph Dougherty | 5575576 | 1 | 03/01/2016 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Rob Nmn Harris | 1549940 | 1 | 11/28/2015 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Divisha Kapur | 2289897 | 2 | 08/12/2015 | Customer Dispute | Closed-No Action | $7,354.30 | $0.00 | See FINRA Report |
| Hien Thuc Lai | 5669071 | 1 | 06/03/2015 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Curt Anthony Pederson | 2309002 | 1 | 04/03/2015 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Peter Simon Lewis | 4586825 | 4 | 03/19/2014 | Customer Dispute | Closed-No Action | $100,000.00 | $0.00 | See FINRA Report |