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 |
|---|---|---|---|---|---|---|---|---|
| Richard George Desautels | 1386461 | 2 | 11/19/2002 | Customer Dispute | Denied | $83,500.00 | $0.00 | See FINRA Report |
| Mark Ronald Andrews | 2059221 | 1 | 11/18/2002 | Customer Dispute | Denied | $8,000.00 | $0.00 | See FINRA Report |
| Stephen Patrick Harnden | 1750036 | 3 | 11/15/2002 | Customer Dispute | Denied | $219,000.00 | $0.00 | See FINRA Report |
| Lisa Suzanne Rosenau | 1512229 | 1 | 11/13/2002 | Customer Dispute | Denied | $18,940.50 | $0.00 | See FINRA Report |
| Ralph Edward Muir | 1199188 | 2 | 11/13/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David Raymond Lyon | 2391509 | 4 | 11/13/2002 | Customer Dispute | Denied | $57,000.00 | $0.00 | See FINRA Report |
| Randy Lee Groff | 2947191 | 1 | 11/11/2002 | Customer Dispute | Denied | $43,000.00 | $0.00 | See FINRA Report |
| Mark Steven Galaini | 810023 | 5 | 11/11/2002 | Customer Dispute | Denied | $16,000.00 | $0.00 | See FINRA Report |
| Gregory Merlin Thoen | 2237713 | 5 | 11/11/2002 | Customer Dispute | Denied | $22,000.00 | $0.00 | See FINRA Report |
| Stephen Frederick Oneill | 2273754 | 1 | 11/11/2002 | Customer Dispute | Denied | $5,400.00 | $0.00 | See FINRA Report |