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 |
|---|---|---|---|---|---|---|---|---|
| Tara Jean Showalter | 4619096 | 1 | 11/15/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Daniel Sean Spencer | 3068294 | 2 | 11/12/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William Earl Penland | 3029474 | 3 | 10/07/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Lawrence Alan Hess | 2527962 | 1 | 09/30/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Rey Garza | 5553421 | 1 | 09/14/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Brad Aaron Swartzwelder | 2811267 | 1 | 09/12/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Claude Christopher Mc Manus | 2526077 | 5 | 08/27/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Daniel Wayne Nelson | 5984146 | 1 | 08/17/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kevin Martin Golden | 4117756 | 1 | 07/14/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Mark Eisenmenger | 2507366 | 4 | 07/02/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |