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 |
|---|---|---|---|---|---|---|---|---|
| Michael Wayne Schwartz | 2669252 | 1 | 08/05/2019 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Joanne Mary Cirocco | 1374022 | 2 | 07/31/2019 | Customer Dispute | Denied | $10,443.00 | $0.00 | See FINRA Report |
| John Gavin Doty | 2705939 | 1 | 07/30/2019 | Customer Dispute | Denied | $24,198.70 | $0.00 | See FINRA Report |
| Eric John Smutko | 4665221 | 1 | 07/29/2019 | Customer Dispute | Denied | $30,485.30 | $0.00 | See FINRA Report |
| Kimberly Ann Holladay | 4133879 | 1 | 07/22/2019 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Gary Edward London | 4538896 | 1 | 07/17/2019 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Karen Dreessen Higgins | 1292160 | 1 | 07/15/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Kimberly J Latimer | 2803697 | 1 | 07/10/2019 | Customer Dispute | Denied | $6,364.22 | $0.00 | See FINRA Report |
| Thomas Andrew Stickney | 2597982 | 2 | 07/09/2019 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Kelly Ann Boyle | 4994737 | 1 | 07/03/2019 | Customer Dispute | Denied | $147,272.00 | $0.00 | See FINRA Report |