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 |
|---|---|---|---|---|---|---|---|---|
| Mia Kerman-Quentin | 3148589 | 1 | 10/23/2018 | Customer Dispute | Denied | $50,090.00 | $0.00 | See FINRA Report |
| David Lynn Aton | 2849326 | 1 | 10/08/2018 | Customer Dispute | Denied | $140,000.00 | $0.00 | See FINRA Report |
| Jeanette Anne Cable | 4450505 | 1 | 10/08/2018 | Customer Dispute | Denied | $31,182.90 | $0.00 | See FINRA Report |
| Christopher Michael Corea | 2493445 | 1 | 09/20/2018 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Clinton Wade Boxman | 5103880 | 1 | 09/12/2018 | Customer Dispute | Denied | $9,400.00 | $0.00 | See FINRA Report |
| Richard Scott Ewing | 3189321 | 6 | 08/30/2018 | Customer Dispute | Denied | $38,653.00 | $0.00 | See FINRA Report |
| Mark Braden Cannon | 2841553 | 1 | 08/23/2018 | Customer Dispute | Denied | $27,154.30 | $0.00 | See FINRA Report |
| Jill April Baker | 4700486 | 1 | 08/16/2018 | Customer Dispute | Denied | $12,381.00 | $0.00 | See FINRA Report |
| Roy Chuck Waugh | 2130562 | 3 | 07/19/2018 | Customer Dispute | Denied | $260,725.00 | $0.00 | See FINRA Report |
| Peter J Ruhl | 6031054 | 1 | 07/17/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |