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 |
|---|---|---|---|---|---|---|---|---|
| William Lance Brant | 7173473 | 1 | 09/22/2017 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Thomas William Daniels | 5798826 | 1 | 07/15/2016 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Carolynn Fellman | 2411320 | 3 | 04/01/2016 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Thomas Cameron Morgan | 5762520 | 2 | 02/28/2016 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Patrick Jeremiah O'Brien | 4507514 | 2 | 01/18/2016 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Donovan Dsean Love | 6450877 | 2 | 09/05/2015 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Andrew Matias Carrillo | 7824673 | 1 | 02/27/2015 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Anthony Baldi | 6861345 | 1 | 02/20/2015 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Fernando O Velasco | 7477981 | 1 | 11/10/2014 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Ross Wheble | 7503882 | 1 | 10/30/2014 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |