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 |
|---|---|---|---|---|---|---|---|---|
| Ernest Barrios Crisologo | 2509727 | 7 | 04/16/2008 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Roger Edward Kiefer | 2322638 | 4 | 04/15/2008 | Customer Dispute | Denied | $164,480.00 | $0.00 | See FINRA Report |
| John Howard Kopeck | 2366882 | 2 | 04/15/2008 | Customer Dispute | Denied | $63,000.00 | $0.00 | See FINRA Report |
| Lance Eric Butner | 2030903 | 1 | 04/14/2008 | Customer Dispute | Denied | $8,278.47 | $0.00 | See FINRA Report |
| Denise Rachelle Allen | 4222022 | 3 | 04/11/2008 | Customer Dispute | Denied | $166,000.00 | $0.00 | See FINRA Report |
| Mikeal David Davis | 2436482 | 1 | 04/11/2008 | Customer Dispute | Denied | $12,000.00 | $0.00 | See FINRA Report |
| Raymond John Regala | 2868237 | 3 | 04/09/2008 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
| David Lee Shackelford | 2984646 | 1 | 04/07/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Ryan Patrick Mc Cabe | 4687258 | 1 | 04/04/2008 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Brian Christopher Lake | 4276273 | 1 | 03/31/2008 | Customer Dispute | Denied | $10,697.50 | $0.00 | See FINRA Report |