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 |
|---|---|---|---|---|---|---|---|---|
| Phillip Michael Smeltzer | 3023928 | 1 | 02/27/2004 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Jeffery Dale Chaddock | 1837499 | 5 | 02/27/2004 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Pablo Avina | 2670288 | 2 | 02/26/2004 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Arlene Cohen Wilson | 1272695 | 1 | 02/26/2004 | Customer Dispute | Denied | $10,900.00 | $0.00 | See FINRA Report |
| Geri Eisenman Pell | 1555728 | 5 | 02/25/2004 | Customer Dispute | Denied | $6,370.69 | $0.00 | See FINRA Report |
| Mark Anthony Gabriel | 1750956 | 1 | 02/23/2004 | Customer Dispute | Denied | $130,000.00 | $0.00 | See FINRA Report |
| Roshni N Khory | 2437561 | 1 | 02/23/2004 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| David Arnold Sandstrom | 1384878 | 1 | 02/23/2004 | Customer Dispute | Denied | $5,800.00 | $0.00 | See FINRA Report |
| Lawrence E Crouse | 840901 | 2 | 02/23/2004 | Customer Dispute | Denied | $32,000.00 | $0.00 | See FINRA Report |
| Louis Arlow | 2189573 | 3 | 02/17/2004 | Customer Dispute | Denied | $350,000.00 | $0.00 | See FINRA Report |