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 |
|---|---|---|---|---|---|---|---|---|
| Roger Dewayne Holland | 4102802 | 1 | 06/20/2024 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Robert Paul Blaszak | 7483277 | 5 | 06/03/2024 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Bradley Alan Harder | 4432075 | 1 | 12/13/2023 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jesse Carl Hanson | 7555056 | 1 | 10/11/2023 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Lee Francis Tracy | 2431864 | 2 | 09/21/2023 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Matthew Charles Baum | 6942874 | 2 | 07/05/2023 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| George Jacob Najm | 7841742 | 1 | 06/25/2022 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John-Peter Curcio | 2400652 | 1 | 08/25/2021 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Braxton D Miller | 7606560 | 1 | 06/11/2021 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Darryl Richardson Ruffen | 2592000 | 1 | 06/07/2021 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |