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 |
|---|---|---|---|---|---|---|---|---|
| Shahrokh David Firouzan | 1911266 | 2 | 05/27/1972 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Roger Andre Auger | 841804 | 2 | 04/12/1972 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Keith Ritchie | 722446 | 4 | 05/28/1971 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Carlos Viera | 3007893 | 1 | 01/01/1971 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William Haywood Walters | 1219745 | 4 | 05/17/1968 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Stephen Fulton Bouton | 1133969 | 3 | 05/05/1968 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Karl Wilton Harman | 1296284 | 4 | 07/25/1967 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Warren Wayne Locke | 1102676 | 5 | 06/24/1965 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Harold Willard Cole | 1200347 | 3 | 11/15/1961 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Edward Lee Bryan | 1036857 | 4 | 11/30/-0001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |