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 |
|---|---|---|---|---|---|---|---|---|
| Lawrence Michael Margolin | 2772361 | 4 | 01/18/2005 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Daniel Lloyd Hanvey | 2666402 | 1 | 01/10/2005 | Customer Dispute | Denied | $31,784.60 | $0.00 | See FINRA Report |
| George Tokuo Murakami | 1292194 | 3 | 01/04/2005 | Customer Dispute | Denied | $22,849.60 | $0.00 | See FINRA Report |
| Kristine Kathryn Hartland | 2101877 | 2 | 12/31/2004 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| David Burke Ditzel | 1247771 | 1 | 12/30/2004 | Customer Dispute | Denied | $7,500.00 | $0.00 | See FINRA Report |
| Carl William Heick | 1218327 | 97 | 12/27/2004 | Customer Dispute | Denied | $30,000.00 | $0.00 | See FINRA Report |
| Donald Stephen Alderman | 2289153 | 2 | 12/20/2004 | Customer Dispute | Denied | $7,000.00 | $0.00 | See FINRA Report |
| Thomas Anthony de Nicola | 3024395 | 1 | 12/20/2004 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Randall David Ehleringer | 1723000 | 3 | 12/14/2004 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Robert Edward Bortz | 1018691 | 4 | 12/07/2004 | Customer Dispute | Denied | $27,504.00 | $0.00 | See FINRA Report |