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 |
|---|---|---|---|---|---|---|---|---|
| Joseph M Ball | 6947614 | 2 | 07/06/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Cyril Mathew | 7002283 | 1 | 05/15/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Sean Joseph Kacer | 5924818 | 1 | 01/01/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Allison Hope Tuthill | 6968588 | 1 | 12/21/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Lee Francis Tracy | 2431864 | 2 | 10/03/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Vincent Notarianni | 4496075 | 1 | 07/15/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Shana Jean Hudson | 2393346 | 1 | 05/16/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Gabriel Jonathon Glimcher | 6601107 | 1 | 02/22/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Adriana Isabel Guzman | 6189210 | 1 | 01/26/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Brandon Michael Schoeppler | 5733905 | 1 | 01/20/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |