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 |
|---|---|---|---|---|---|---|---|---|
| Carolyn Marie Thur | 704765 | 2 | 05/07/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Frank McNair Sims | 1252022 | 7 | 05/06/2003 | Customer Dispute | Denied | $25,000.00 | $0.00 | See FINRA Report |
| Frank McNair Sims | 1252022 | 7 | 05/06/2003 | Customer Dispute | Denied | $25,000.00 | $0.00 | See FINRA Report |
| Frank McNair Sims | 1252022 | 7 | 05/06/2003 | Customer Dispute | Denied | $6,250.00 | $0.00 | See FINRA Report |
| Frank McNair Sims | 1252022 | 7 | 05/06/2003 | Customer Dispute | Denied | $25,000.00 | $0.00 | See FINRA Report |
| Kirk John Osborne | 725201 | 2 | 05/05/2003 | Customer Dispute | Denied | $6,691.00 | $0.00 | See FINRA Report |
| Ronald Lawrence Phelps | 2815525 | 3 | 05/05/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Russell Jeffrey Judah | 2089244 | 2 | 05/02/2003 | Customer Dispute | Denied | $5,898.00 | $0.00 | See FINRA Report |
| Lane Carl Gans | 1728729 | 1 | 05/02/2003 | Customer Dispute | Denied | $25,000.00 | $0.00 | See FINRA Report |
| James Martin Meis | 1061849 | 4 | 04/30/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |