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 |
|---|---|---|---|---|---|---|---|---|
| John Mark Willson | 2035475 | 3 | 04/26/2002 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Eric N Lahtinen | 3087911 | 2 | 04/26/2002 | Customer Dispute | Denied | $5,050.00 | $0.00 | See FINRA Report |
| Jacqueline Anne Antone | 2314415 | 4 | 04/23/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Andrew Patrick Clark | 2887168 | 3 | 04/18/2002 | Customer Dispute | Denied | $5,479.00 | $0.00 | See FINRA Report |
| Barbara Ann Case | 3077393 | 3 | 04/17/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Maurice Anthony Valdivieso | 1243889 | 1 | 04/17/2002 | Customer Dispute | Denied | $309,170.00 | $0.00 | See FINRA Report |
| Raymond E Beck | 2158916 | 1 | 04/16/2002 | Customer Dispute | Denied | $127,788.00 | $0.00 | See FINRA Report |
| Carl William Heick | 1218327 | 97 | 04/11/2002 | Customer Dispute | Denied | $238,258.00 | $0.00 | See FINRA Report |
| Stephen Thomas Hester | 1789547 | 67 | 04/11/2002 | Customer Dispute | Denied | $657,047.00 | $0.00 | See FINRA Report |
| Stephen Thomas Hester | 1789547 | 67 | 04/11/2002 | Customer Dispute | Denied | $266,383.00 | $0.00 | See FINRA Report |