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 |
|---|---|---|---|---|---|---|---|---|
| Barry Lanier Oxton | 5478005 | 1 | 01/07/2022 | Customer Dispute | Denied | $30,559.00 | $0.00 | See FINRA Report |
| James Herbert Swallow | 4630472 | 1 | 12/06/2021 | Customer Dispute | Denied | $12,120.00 | $0.00 | See FINRA Report |
| Glenn David Fasani | 2832856 | 5 | 11/21/2021 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Julio Mendez | 6739857 | 1 | 11/12/2021 | Customer Dispute | Denied | $17,228.80 | $0.00 | See FINRA Report |
| Rachel Nicole Couch | 6588639 | 1 | 10/26/2021 | Customer Dispute | Denied | $54,166.20 | $0.00 | See FINRA Report |
| Thomas Anthony Ranalli | 4044533 | 1 | 10/20/2021 | Customer Dispute | Denied | $12,543.50 | $0.00 | See FINRA Report |
| Justin Westley King | 5128328 | 1 | 10/16/2021 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Brigitte Mariejeanne Davison | 2639579 | 1 | 09/20/2021 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Phillip James Peachock | 4408137 | 2 | 07/16/2021 | Customer Dispute | Denied | $8,750.00 | $0.00 | See FINRA Report |
| Evan Scott Branfman | 3270650 | 5 | 07/12/2021 | Customer Dispute | Denied | $11,709.00 | $0.00 | See FINRA Report |