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 |
|---|---|---|---|---|---|---|---|---|
| Steven E Carpmail | 2941792 | 7 | 02/12/2004 | Customer Dispute | Denied | $7,656.00 | $0.00 | See FINRA Report |
| Mark Edward Woody | 2014653 | 1 | 02/12/2004 | Customer Dispute | Denied | $17,000.00 | $0.00 | See FINRA Report |
| Kenneth Anthony Youga | 1958908 | 2 | 02/06/2004 | Customer Dispute | Denied | $164,648.00 | $0.00 | See FINRA Report |
| Shonn See Rutledge | 2097533 | 2 | 02/05/2004 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Anthony John Leopizzi | 1697946 | 5 | 02/05/2004 | Customer Dispute | Denied | $5,042.44 | $0.00 | See FINRA Report |
| Dennis Michael Gurtz | 1079222 | 1 | 02/04/2004 | Customer Dispute | Denied | $64,349.00 | $0.00 | See FINRA Report |
| Kathleen May Bresnan | 2086103 | 2 | 02/04/2004 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Todd Michael Stepniewski | 1359838 | 4 | 02/03/2004 | Customer Dispute | Denied | $55,460.00 | $0.00 | See FINRA Report |
| Mark Yukio Kobayashi | 1175251 | 2 | 01/28/2004 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Thomas Edward Smith | 2085017 | 1 | 01/26/2004 | Customer Dispute | Denied | $30,000.00 | $0.00 | See FINRA Report |