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 |
|---|---|---|---|---|---|---|---|---|
| Jeffrey Robert Christopher | 1028948 | 4 | 11/08/2002 | Customer Dispute | Denied | $17,000.00 | $0.00 | See FINRA Report |
| Kevin Jay Hermening | 2070967 | 6 | 11/08/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Barry Patrick Shelley | 1276771 | 1 | 11/07/2002 | Customer Dispute | Denied | $8,000.00 | $0.00 | See FINRA Report |
| Daniel David Getsch | 2259716 | 1 | 11/04/2002 | Customer Dispute | Denied | $44,000.00 | $0.00 | See FINRA Report |
| Steven E Carpmail | 2941792 | 7 | 11/03/2002 | Customer Dispute | Denied | $8,138.08 | $0.00 | See FINRA Report |
| Kenneth Richard Warner | 2395152 | 2 | 10/30/2002 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| George Papadoyannis | 2119519 | 4 | 10/28/2002 | Customer Dispute | Denied | $70,000.00 | $0.00 | See FINRA Report |
| Lana M Engen | 713037 | 2 | 10/25/2002 | Customer Dispute | Denied | $61,807.00 | $0.00 | See FINRA Report |
| Michael Kenneth Clark | 2580455 | 16 | 10/18/2002 | Customer Dispute | Denied | $15,000.00 | $0.00 | See FINRA Report |
| William Patrick Marshall | 1942512 | 4 | 10/16/2002 | Customer Dispute | Denied | $5,938.04 | $0.00 | See FINRA Report |