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 |
|---|---|---|---|---|---|---|---|---|
| Roger Thomas Duffy | 4638254 | 1 | 06/07/2024 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Peter Nathaniel Pulido | 7553236 | 1 | 06/04/2024 | Customer Dispute | Denied | $7,975.00 | $0.00 | See FINRA Report |
| Louis Anthony La Selva | 3219829 | 1 | 05/30/2024 | Customer Dispute | Denied | $22,221.30 | $0.00 | See FINRA Report |
| David Christopher Berube | 1010902 | 1 | 05/24/2024 | Customer Dispute | Denied | $34,931.80 | $0.00 | See FINRA Report |
| Taylor Patrick Hansen | 6206255 | 1 | 05/21/2024 | Customer Dispute | Denied | $7,000.00 | $0.00 | See FINRA Report |
| James O Sturdivant | 2624168 | 1 | 05/17/2024 | Customer Dispute | Denied | $20,345.30 | $0.00 | See FINRA Report |
| Nicholas Craig Adamson | 4070569 | 2 | 05/06/2024 | Customer Dispute | Denied | $24,035.20 | $0.00 | See FINRA Report |
| Sariguli Tuersun | 7042752 | 1 | 04/22/2024 | Customer Dispute | Denied | $15,165.00 | $0.00 | See FINRA Report |
| Eric Han | 5543197 | 1 | 04/16/2024 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| William Corbin Munn | 2250062 | 2 | 04/11/2024 | Customer Dispute | Denied | $200,000.00 | $0.00 | See FINRA Report |