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 |
|---|---|---|---|---|---|---|---|---|
| Eric William Szczurowski | 4672167 | 3 | 01/22/2019 | Customer Dispute | Denied | $6,752.27 | $0.00 | See FINRA Report |
| Audrey K Croft | 4178028 | 13 | 01/13/2019 | Customer Dispute | Denied | $27,000.00 | $0.00 | See FINRA Report |
| Tyler Sevlie | 6699174 | 1 | 01/09/2019 | Customer Dispute | Denied | $6,000.00 | $0.00 | See FINRA Report |
| Lisa Anne Grassbaugh | 2110116 | 2 | 12/24/2018 | Customer Dispute | Denied | $26,000.00 | $0.00 | See FINRA Report |
| Ronald Terry Ernst | 4545365 | 2 | 12/15/2018 | Customer Dispute | Denied | $5,359.00 | $0.00 | See FINRA Report |
| Geraldine Gordon | 2499098 | 9 | 12/10/2018 | Customer Dispute | Denied | $149,981.00 | $0.00 | See FINRA Report |
| William Thomas Higgins | 2283649 | 5 | 11/07/2018 | Customer Dispute | Denied | $5,293.41 | $0.00 | See FINRA Report |
| Joseph W Branca | 5019632 | 1 | 11/06/2018 | Customer Dispute | Denied | $15,759.60 | $0.00 | See FINRA Report |
| Rudolf James Hein | 2459357 | 3 | 10/30/2018 | Customer Dispute | Denied | $738,000.00 | $0.00 | See FINRA Report |
| Ashley Z Gagner | 5559543 | 1 | 10/29/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |