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 |
|---|---|---|---|---|---|---|---|---|
| Dennis Robert Miller | 2887685 | 2 | 07/23/2002 | Customer Dispute | Denied | $86,000.00 | $0.00 | See FINRA Report |
| Scott Alan Mulloy | 2115663 | 1 | 07/23/2002 | Customer Dispute | Denied | $95,500.00 | $0.00 | See FINRA Report |
| Richard Bryan Pitt | 2572619 | 1 | 07/22/2002 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Geraldine Gordon | 2499098 | 9 | 07/18/2002 | Customer Dispute | Denied | $30,000.00 | $0.00 | See FINRA Report |
| Douglas Heath McCulloch | 2960829 | 2 | 07/15/2002 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Steven Dean Jones | 1783656 | 3 | 07/15/2002 | Customer Dispute | Denied | $1,500,000.00 | $0.00 | See FINRA Report |
| Lawrence Anthony Padron | 4018353 | 1 | 07/12/2002 | Customer Dispute | Denied | $13,000.00 | $0.00 | See FINRA Report |
| Michael Everett Williams | 2262058 | 2 | 07/02/2002 | Customer Dispute | Denied | $16,000.00 | $0.00 | See FINRA Report |
| Paul Henry Giles | 2041288 | 6 | 07/01/2002 | Customer Dispute | Denied | $200,000.00 | $0.00 | See FINRA Report |
| Paul Daniel Zirakian | 2311324 | 5 | 06/27/2002 | Customer Dispute | Denied | $6,000.00 | $0.00 | See FINRA Report |