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 |
|---|---|---|---|---|---|---|---|---|
| Joseph Candela | 2674155 | 4 | 06/12/1998 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Alan J Goldfarb | 1392581 | 1 | 05/06/1998 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Mathew Jay Higgins | 2618225 | 1 | 04/10/1998 | Customer Dispute | Closed-No Action | $32,000.00 | $0.00 | See FINRA Report |
| Warren Wayne Locke | 1102676 | 5 | 03/10/1998 | Customer Dispute | Closed-No Action | $324.72 | $0.00 | See FINRA Report |
| Roger Dean White | 2274788 | 1 | 02/11/1998 | Customer Dispute | Closed-No Action | $20,000.00 | $0.00 | See FINRA Report |
| Thomas Connor Moss | 844872 | 6 | 01/28/1998 | Customer Dispute | Closed-No Action | $27,469.80 | $0.00 | See FINRA Report |
| Christopher John Jacobi | 1648679 | 5 | 01/12/1998 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Carl Henry Davis | 830219 | 2 | 11/18/1997 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |