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 |
|---|---|---|---|---|---|---|---|---|
| Steven William Link | 2223522 | 7 | 02/04/2010 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Matthew Peter McKenna | 2939543 | 1 | 01/12/2010 | Customer Dispute | Closed-No Action | $50,000.00 | $0.00 | See FINRA Report |
| James Edward Stefanoff | 4156586 | 4 | 12/17/2009 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Chad Anthony Noble | 4774817 | 2 | 11/24/2009 | Customer Dispute | Closed-No Action | $8,968.98 | $0.00 | See FINRA Report |
| Daniel G Rothschild | 2565931 | 2 | 04/16/2009 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| John Albert Kish | 2040529 | 2 | 04/08/2009 | Customer Dispute | Closed-No Action | $7,000.00 | $0.00 | See FINRA Report |
| Gina Marie Woodcock | 3217845 | 1 | 03/25/2009 | Customer Dispute | Closed-No Action | $182,759.00 | $0.00 | See FINRA Report |
| Alfred Thomas Nelson | 823002 | 4 | 03/04/2009 | Customer Dispute | Closed-No Action | $40,000.00 | $0.00 | See FINRA Report |
| Thomas Francis Heinrichs | 4942126 | 4 | 03/03/2009 | Customer Dispute | Closed-No Action | $2,381.00 | $0.00 | See FINRA Report |
| Reza Hamid Taraz | 4079866 | 2 | 02/02/2009 | Customer Dispute | Closed-No Action | $7,842.99 | $0.00 | See FINRA Report |