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 |
|---|---|---|---|---|---|---|---|---|
| Brian Francis Costello | 1744360 | 3 | 08/18/2017 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Patrick George Colligan | 1716546 | 2 | 08/10/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Sylvia Jean Frattallone | 2530542 | 3 | 08/02/2017 | Customer Dispute | Denied | $125,000.00 | $0.00 | See FINRA Report |
| Jared Bryce Roskelley | 3139812 | 6 | 07/28/2017 | Customer Dispute | Denied | $40,000.00 | $0.00 | See FINRA Report |
| Kenneth Kim Krause | 1706165 | 2 | 07/27/2017 | Customer Dispute | Denied | $40,000.00 | $0.00 | See FINRA Report |
| Joseph Brandon Lavitt | 4704621 | 1 | 07/17/2017 | Customer Dispute | Denied | $7,493.00 | $0.00 | See FINRA Report |
| Joshua John Strzelecki | 5177197 | 1 | 07/14/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Norman Kit Chu | 4758752 | 1 | 07/05/2017 | Customer Dispute | Denied | $7,280.34 | $0.00 | See FINRA Report |
| Steven William Link | 2223522 | 7 | 06/12/2017 | Customer Dispute | Denied | $181,772.00 | $0.00 | See FINRA Report |
| Christopher Curtis Crotty | 4542143 | 1 | 06/09/2017 | Customer Dispute | Denied | $7,254.82 | $0.00 | See FINRA Report |