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 |
|---|---|---|---|---|---|---|---|---|
| William Robert Young | 4787488 | 6 | 12/10/2018 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Bruce Edward Smith | 2245021 | 2 | 12/04/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John Louis Demarco | 2329695 | 2 | 11/15/2018 | Customer Dispute | Settled | $7,500.00 | $0.00 | See FINRA Report |
| William Thomas Higgins | 2283649 | 5 | 11/07/2018 | Customer Dispute | Denied | $5,293.41 | $0.00 | See FINRA Report |
| Joseph W Branca | 5019632 | 1 | 11/06/2018 | Customer Dispute | Denied | $15,759.60 | $0.00 | See FINRA Report |
| Rudolf James Hein | 2459357 | 3 | 10/30/2018 | Customer Dispute | Denied | $738,000.00 | $0.00 | See FINRA Report |
| Ashley Z Gagner | 5559543 | 1 | 10/29/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Mia Kerman-Quentin | 3148589 | 1 | 10/23/2018 | Customer Dispute | Denied | $50,090.00 | $0.00 | See FINRA Report |
| Larry Don Graham | 1433652 | 3 | 10/16/2018 | Customer Dispute | Settled | $228,515.00 | $0.00 | See FINRA Report |
| David Lynn Aton | 2849326 | 1 | 10/08/2018 | Customer Dispute | Denied | $140,000.00 | $0.00 | See FINRA Report |