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 |
|---|---|---|---|---|---|---|---|---|
| Dory Brendan Hux | 4335394 | 1 | 12/07/2004 | Customer Dispute | Denied | $10,100.00 | $0.00 | See FINRA Report |
| Joseph Salvatore de Sena | 2477861 | 4 | 12/06/2004 | Customer Dispute | Denied | $7,000.00 | $0.00 | See FINRA Report |
| Michael Paul Guarino | 2647722 | 1 | 12/01/2004 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Linda Marie Forte | 1370662 | 2 | 11/18/2004 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Paul Matthew Smith | 2173826 | 3 | 11/17/2004 | Customer Dispute | Denied | $160,000.00 | $0.00 | See FINRA Report |
| Christopher Brian Stewart | 2673424 | 2 | 11/17/2004 | Customer Dispute | Denied | $30,000.00 | $0.00 | See FINRA Report |
| Christopher Brian Stewart | 2673424 | 2 | 11/17/2004 | Customer Dispute | Denied | $7,000.00 | $0.00 | See FINRA Report |
| Vincent Noah de Vita | 4055454 | 3 | 11/14/2004 | Customer Dispute | Denied | $10,960.00 | $0.00 | See FINRA Report |
| Roland K Cook | 2215333 | 2 | 11/12/2004 | Customer Dispute | Denied | $75,000.00 | $0.00 | See FINRA Report |
| Mark Henry Bollum | 1314882 | 3 | 11/12/2004 | Customer Dispute | Denied | $480,000.00 | $0.00 | See FINRA Report |