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 |
|---|---|---|---|---|---|---|---|---|
| Dominick Anthony Gallo | 1956721 | 2 | 06/27/2005 | Customer Dispute | Denied | $25,000.00 | $0.00 | See FINRA Report |
| Sylvia Jean Karimian | 1323614 | 2 | 06/21/2005 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Joan Loretta Coke | 1504100 | 1 | 06/21/2005 | Customer Dispute | Denied | $65,000.00 | $0.00 | See FINRA Report |
| Michael Jay Pepe | 1172861 | 9 | 06/17/2005 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David Lee Hengel | 2402019 | 2 | 06/16/2005 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Carl Frank Nicolosi | 1378292 | 2 | 06/08/2005 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
| Thomas William Uhl | 1146174 | 2 | 05/24/2005 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Rodney Dean Williams | 2660771 | 1 | 05/13/2005 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jacqueline Anne Antone | 2314415 | 4 | 05/10/2005 | Customer Dispute | Denied | $430,000.00 | $0.00 | See FINRA Report |
| Leonard Todd Johnson | 2963840 | 3 | 04/26/2005 | Customer Dispute | Denied | $13,663.00 | $0.00 | See FINRA Report |