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 |
|---|---|---|---|---|---|---|---|---|
| Cedric Percell Powell | 3249130 | 4 | 07/28/2021 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Jamie Lyle Chambers | 4148285 | 1 | 07/23/2021 | Customer Dispute | Settled | $15,000.00 | $0.00 | See FINRA Report |
| Phillip James Peachock | 4408137 | 2 | 07/16/2021 | Customer Dispute | Denied | $8,750.00 | $0.00 | See FINRA Report |
| Robert Edward Bortz | 1018691 | 4 | 07/15/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Cedric Percell Powell | 3249130 | 4 | 07/14/2021 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Evan Scott Branfman | 3270650 | 5 | 07/12/2021 | Customer Dispute | Denied | $11,709.00 | $0.00 | See FINRA Report |
| Kalle Jaan Ruga | 4103649 | 2 | 06/29/2021 | Customer Dispute | Award / Judgment | $20,971.40 | $0.00 | See FINRA Report |
| Steven Laurent Lavergne | 5058612 | 1 | 06/14/2021 | Customer Dispute | Denied | $16,785.00 | $0.00 | See FINRA Report |
| Sarah Shirazi Reznick | 5578608 | 2 | 05/18/2021 | Customer Dispute | Settled | $48,650.00 | $0.00 | See FINRA Report |
| Richard Paul Martin | 1536729 | 8 | 05/07/2021 | Customer Dispute | Settled | $330,430.00 | $0.00 | See FINRA Report |