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 |
|---|---|---|---|---|---|---|---|---|
| Matthew A Nuccio | 5975241 | 1 | 06/10/2022 | Customer Dispute | Denied | $18,000.00 | $0.00 | See FINRA Report |
| Gary Richard Nuccio | 1779887 | 1 | 06/01/2022 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| Richard Francis Powell | 366752 | 1 | 05/19/2022 | Customer Dispute | Denied | $40,000.00 | $0.00 | See FINRA Report |
| Kory Kevin Kleppe | 3131648 | 1 | 05/18/2022 | Customer Dispute | Denied | $15,334.90 | $0.00 | See FINRA Report |
| Brian Edward Jackson | 3188036 | 1 | 04/27/2022 | Customer Dispute | Denied | $536,843.00 | $0.00 | See FINRA Report |
| Randall James Hooper | 1900141 | 4 | 04/21/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Philip John Watson | 2400788 | 2 | 04/12/2022 | Customer Dispute | Denied | $52,000.00 | $0.00 | See FINRA Report |
| David C Waring | 5731838 | 1 | 04/04/2022 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Gregory L Adams | 5192556 | 1 | 03/24/2022 | Customer Dispute | Denied | $35,300.00 | $0.00 | See FINRA Report |
| Vincent Nicholas Martino | 2939367 | 1 | 03/24/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |