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 |
|---|---|---|---|---|---|---|---|---|
| Ronald Edward Mc Kelvy | 2394751 | 3 | 02/01/2018 | Customer Dispute | Denied | $58,000.00 | $0.00 | See FINRA Report |
| Mark James Fontana | 1873528 | 1 | 01/29/2018 | Customer Dispute | Settled | $17,784.00 | $0.00 | See FINRA Report |
| Leslie Lynn Lister | 4760412 | 1 | 01/26/2018 | Customer Dispute | Settled | $159,749.00 | $0.00 | See FINRA Report |
| Paul Leonard Zajciw | 2711901 | 4 | 01/26/2018 | Customer Dispute | Settled | $159,749.00 | $0.00 | See FINRA Report |
| Ronald C Denova | 1673284 | 2 | 01/25/2018 | Customer Dispute | Closed-No Action | $11,885.10 | $0.00 | See FINRA Report |
| Nicholas Craig Adamson | 4070569 | 2 | 01/23/2018 | Customer Dispute | Settled | $35,226.50 | $0.00 | See FINRA Report |
| Joseph Edward Troy | 5384915 | 1 | 01/18/2018 | Customer Dispute | Denied | $11,000.00 | $0.00 | See FINRA Report |
| Vincent Michael Magee | 2720508 | 7 | 01/18/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| James William McLellan | 706853 | 3 | 01/17/2018 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Mark Christopher Massaro | 2559891 | 2 | 12/28/2017 | Customer Dispute | Denied | $750,000.00 | $0.00 | See FINRA Report |