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 |
|---|---|---|---|---|---|---|---|---|
| Mark Gerard Sonntag | 1939350 | 2 | 05/23/2023 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Rush Nickolas Hodgin | 2169424 | 1 | 05/23/2023 | Customer Dispute | Denied | $350,794.00 | $0.00 | See FINRA Report |
| Joel Donald Marks | 320209 | 1 | 05/19/2023 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Kelly Allen Woerdeman | 4834916 | 2 | 05/02/2023 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Timothy Gerrit van Dyken | 5918814 | 2 | 04/11/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Christopher Raymond Goebel | 2738435 | 2 | 04/11/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Robert Eugene Gustafson | 4044183 | 1 | 04/08/2023 | Customer Dispute | Settled | $36,974.00 | $0.00 | See FINRA Report |
| Scott J Roslonowski | 4795893 | 3 | 03/30/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kimberlee Anne Barrett-Johnson | 2261781 | 1 | 03/29/2023 | Customer Dispute | Denied | $25,000.00 | $0.00 | See FINRA Report |
| Matthew W Wayne Shaughnessy | 2457058 | 2 | 03/23/2023 | Customer Dispute | Denied | $200,000.00 | $0.00 | See FINRA Report |