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 |
---|---|---|---|---|---|---|---|---|
Anthony Daniel James | 5153061 | 1 | 06/25/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
Nathan Lowell Steen | 4825706 | 1 | 04/15/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
Christopher Santos Cagadas | 4624589 | 2 | 04/13/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
Ernest Velez | 1571990 | 1 | 04/07/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
Ryan Elmo Inouye | 6119906 | 1 | 11/17/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
Theodore Grier Trafton | 5227008 | 1 | 10/31/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
Andrew Allen Hanna | 4684640 | 1 | 10/08/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
Michael Anthony Perez | 4789836 | 1 | 10/07/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
Miguel Alexander Riveros | 4992271 | 2 | 10/05/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
Carolynn Fellman | 2411320 | 3 | 09/08/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |