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 |
|---|---|---|---|---|---|---|---|---|
| Robert Edward Armstrong | 4732005 | 4 | 08/15/2022 | Customer Dispute | Denied | $200,000.00 | $0.00 | See FINRA Report |
| Michael Thomas Bailey | 1661367 | 2 | 07/11/2022 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Mark D Permenter | 1571527 | 2 | 07/06/2022 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Samantha Elizabeth Witthoft | 5345360 | 1 | 06/24/2022 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
| Jason M Platt | 5706076 | 1 | 06/16/2022 | Customer Dispute | Denied | $28,640.00 | $0.00 | See FINRA Report |
| Richard Francis Powell | 366752 | 1 | 05/19/2022 | Customer Dispute | Denied | $40,000.00 | $0.00 | See FINRA Report |
| Kory Kevin Kleppe | 3131648 | 1 | 05/18/2022 | Customer Dispute | Denied | $15,334.90 | $0.00 | See FINRA Report |
| Brian Edward Jackson | 3188036 | 1 | 04/27/2022 | Customer Dispute | Denied | $536,843.00 | $0.00 | See FINRA Report |
| Randall James Hooper | 1900141 | 4 | 04/21/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Philip John Watson | 2400788 | 2 | 04/12/2022 | Customer Dispute | Denied | $52,000.00 | $0.00 | See FINRA Report |