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 |
|---|---|---|---|---|---|---|---|---|
| Dale Alan Goff | 2407679 | 1 | 01/16/2003 | Customer Dispute | Denied | $11,000.00 | $0.00 | See FINRA Report |
| Rick Thomas Holewinski | 2062398 | 4 | 01/15/2003 | Customer Dispute | Denied | $71,000.00 | $0.00 | See FINRA Report |
| Laurie Poms O'Toole | 2745010 | 2 | 01/13/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Christopher John Jacobi | 1648679 | 5 | 01/13/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Katherine Joyce Kenison | 1877961 | 1 | 01/07/2003 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Michael Keith Kloubec | 2415021 | 3 | 01/06/2003 | Customer Dispute | Denied | $92,326.00 | $0.00 | See FINRA Report |
| Stephen Michael Westlake | 1435643 | 8 | 01/06/2003 | Customer Dispute | Denied | $32,000.00 | $0.00 | See FINRA Report |
| Donald Paul Johannes | 2010074 | 2 | 12/27/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Paul Joseph Grande | 1539442 | 8 | 12/26/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Stephen Ray Bucknam | 2024555 | 2 | 12/26/2002 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |