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 |
|---|---|---|---|---|---|---|---|---|
| Albert William Sharp | 1377393 | 2 | 03/19/2007 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Stacey Lynn Fredrickson | 1245358 | 2 | 03/13/2007 | Customer Dispute | Denied | $9,000.00 | $0.00 | See FINRA Report |
| Derrick Thomas Wells | 3167662 | 2 | 03/12/2007 | Customer Dispute | Denied | $5,179.00 | $0.00 | See FINRA Report |
| William Arthur Eldridge | 1902209 | 3 | 03/12/2007 | Customer Dispute | Denied | $9,000.00 | $0.00 | See FINRA Report |
| James Arthur Koehler | 2024638 | 2 | 03/05/2007 | Customer Dispute | Denied | $184,721.00 | $0.00 | See FINRA Report |
| David Thor Hoppess | 2430134 | 1 | 03/01/2007 | Customer Dispute | Denied | $5,011.66 | $0.00 | See FINRA Report |
| Sean Prewitt | 2405517 | 1 | 02/28/2007 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Leon Carter | 1272826 | 5 | 02/22/2007 | Customer Dispute | Denied | $55,361.00 | $0.00 | See FINRA Report |
| Steven Daniel Felton | 1348440 | 3 | 02/19/2007 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Thomas Jeremiah Moher | 2422778 | 3 | 02/12/2007 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |