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 |
|---|---|---|---|---|---|---|---|---|
| Richard Jesus Fernandez | 7700670 | 3 | 07/13/1982 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert Alan Koch | 5482869 | 4 | 05/23/1982 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John David Anderson | 1045831 | 3 | 04/17/1982 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Christopher Win Nelson | 1221694 | 1 | 01/02/1982 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Peter Andrew Velcofsky | 1464926 | 1 | 12/01/1981 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Douglas John Bock | 6682913 | 1 | 12/01/1981 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Ernest Farmer | 2716160 | 1 | 07/04/1981 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Jay Pepe | 1172861 | 9 | 04/20/1981 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jefferson Alan Ledbetter | 1407150 | 3 | 01/01/1981 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kyle Takeo Nakano | 2786159 | 1 | 12/17/1980 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |