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 |
|---|---|---|---|---|---|---|---|---|
| Christopher Mark Anderson | 5823257 | 2 | 05/13/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Eileen F Holzman | 1294888 | 1 | 05/12/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Matthew Richard Zukergood | 1438202 | 2 | 04/11/2014 | Customer Dispute | Denied | $25,000.00 | $0.00 | See FINRA Report |
| Eric James Lleva | 2109357 | 1 | 04/02/2014 | Customer Dispute | Denied | $18,000.00 | $0.00 | See FINRA Report |
| Eve Marie O'Reilly Keddy | 2544679 | 2 | 04/01/2014 | Customer Dispute | Denied | $7,332.03 | $0.00 | See FINRA Report |
| Joseph Patrick Martin | 1297860 | 1 | 03/17/2014 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Shaun Dorr Hampton | 4365515 | 1 | 03/13/2014 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Erin James Scannell | 3210280 | 1 | 03/04/2014 | Customer Dispute | Denied | $8,190.00 | $0.00 | See FINRA Report |
| Carlos Fabian Arias | 3150201 | 1 | 02/24/2014 | Customer Dispute | Denied | $21,000.00 | $0.00 | See FINRA Report |
| Andrew Timothy Mason | 2316612 | 1 | 02/10/2014 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |