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 |
|---|---|---|---|---|---|---|---|---|
| Inderpal Singh Anand | 2875643 | 1 | 09/26/2022 | Customer Dispute | Denied | $14,003.80 | $0.00 | See FINRA Report |
| Clifton Brent Smith | 2658251 | 2 | 09/19/2022 | Customer Dispute | Denied | $27,287.10 | $0.00 | See FINRA Report |
| Mandy Min Woo | 4179009 | 1 | 09/17/2022 | Customer Dispute | Denied | $230,000.00 | $0.00 | See FINRA Report |
| Douglas Bradford Gage | 2409551 | 1 | 09/16/2022 | Customer Dispute | Denied | $30,000.00 | $0.00 | See FINRA Report |
| Hendra Tanuwijaya | 2056380 | 2 | 09/06/2022 | Customer Dispute | Denied | $5,100.00 | $0.00 | See FINRA Report |
| Dale Peter Silbaugh | 734877 | 3 | 08/29/2022 | Customer Dispute | Denied | $235,676.00 | $0.00 | See FINRA Report |
| Robert Edward Armstrong | 4732005 | 4 | 08/15/2022 | Customer Dispute | Denied | $200,000.00 | $0.00 | See FINRA Report |
| Michael Thomas Bailey | 1661367 | 2 | 07/11/2022 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Samantha Elizabeth Witthoft | 5345360 | 1 | 06/24/2022 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
| Jason M Platt | 5706076 | 1 | 06/16/2022 | Customer Dispute | Denied | $28,640.00 | $0.00 | See FINRA Report |