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 |
|---|---|---|---|---|---|---|---|---|
| Patrick Anthony Everett | 2996854 | 1 | 05/07/2021 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Tracy Goughnour Aufleger | 2317989 | 6 | 04/28/2021 | Customer Dispute | Denied | $15,511.30 | $0.00 | See FINRA Report |
| Angela Ai Liu | 6769962 | 1 | 04/28/2021 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Christopher Thomas Aufleger | 2918240 | 1 | 04/28/2021 | Customer Dispute | Denied | $15,511.50 | $0.00 | See FINRA Report |
| Richard Duane Mukomela | 4370556 | 4 | 04/09/2021 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Ted Arthur Boutis | 2951760 | 4 | 04/07/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Ted Arthur Boutis | 2951760 | 4 | 04/07/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kalle Jaan Ruga | 4103649 | 2 | 04/07/2021 | Customer Dispute | Settled | $65,000.00 | $0.00 | See FINRA Report |
| Enric Sifa | 6584332 | 1 | 04/02/2021 | Customer Dispute | Settled | $16,000.00 | $0.00 | See FINRA Report |
| Todd Paul Bauman | 2631144 | 4 | 03/31/2021 | Customer Dispute | Settled | $1,409,720.00 | $0.00 | See FINRA Report |