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 |
|---|---|---|---|---|---|---|---|---|
| Gary Stephen Dionne | 2384646 | 1 | 09/26/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Robert Henry Bastiaans | 838778 | 2 | 09/26/2008 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Duc Tien Tran | 3095273 | 6 | 09/24/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jonathan Scott Stahley | 3034891 | 1 | 09/24/2008 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Jennifer Suzanne Carmer-Hall | 2126352 | 1 | 09/24/2008 | Customer Dispute | Denied | $116,000.00 | $0.00 | See FINRA Report |
| Ronald Lawrence Phelps | 2815525 | 3 | 09/23/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Mark Christopher Freeland | 2900820 | 2 | 09/23/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Steven E Carpmail | 2941792 | 7 | 09/22/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Lloyd Rodman Woelfle | 828492 | 1 | 09/22/2008 | Customer Dispute | Denied | $9,011.00 | $0.00 | See FINRA Report |
| Sakiko Kono | 2355153 | 1 | 09/22/2008 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |