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 |
|---|---|---|---|---|---|---|---|---|
| Kevin Douglas Houser | 2513167 | 5 | 12/27/2022 | Customer Dispute | Pending | $200,000.00 | $0.00 | See FINRA Report |
| Brandon Michael Harrington | 2842967 | 2 | 12/20/2022 | Customer Dispute | Pending | $25,000.00 | $0.00 | See FINRA Report |
| Randall Dean Helt | 3013272 | 1 | 12/16/2022 | Customer Dispute | Denied | $14,015.60 | $0.00 | See FINRA Report |
| Wayne Robert Verity | 4485611 | 1 | 12/12/2022 | Customer Dispute | Denied | $10,798.00 | $0.00 | See FINRA Report |
| Raymond Joseph Clark | 3070869 | 1 | 12/05/2022 | Customer Dispute | Pending | $7,445.65 | $0.00 | See FINRA Report |
| Brian James Timmer | 1816017 | 1 | 11/30/2022 | Customer Dispute | Pending | $72,848.30 | $0.00 | See FINRA Report |
| Richard Lee Simpson | 4034268 | 2 | 11/28/2022 | Customer Dispute | Pending | $30,000.00 | $0.00 | See FINRA Report |
| Paul Andrew Siegel | 2828360 | 4 | 11/21/2022 | Customer Dispute | Pending | $8,779.13 | $0.00 | See FINRA Report |
| Jason Michael Leblanc | 6782560 | 1 | 11/18/2022 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Anthony Ghiglieri | 5840252 | 2 | 11/11/2022 | Customer Dispute | Denied | $52,500.00 | $0.00 | See FINRA Report |