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 |
|---|---|---|---|---|---|---|---|---|
| Joseph Candela | 2674155 | 4 | 11/25/2013 | Customer Dispute | Denied | $250,000.00 | $0.00 | See FINRA Report |
| Kevin Francis Vasilik | 2876941 | 2 | 11/21/2013 | Customer Dispute | Denied | $195,000.00 | $0.00 | See FINRA Report |
| Robert Edward Armstrong | 4732005 | 4 | 11/11/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Lewis Nelson Howard | 2219857 | 2 | 11/05/2013 | Customer Dispute | Denied | $12,000.00 | $0.00 | See FINRA Report |
| Douglas John Wilks | 2109790 | 1 | 11/04/2013 | Customer Dispute | Denied | $14,553.30 | $0.00 | See FINRA Report |
| Theophanis Cr Pericleous | 1811765 | 3 | 10/31/2013 | Customer Dispute | Denied | $34,183.00 | $0.00 | See FINRA Report |
| Thomas Roderick North | 723949 | 3 | 10/28/2013 | Customer Dispute | Denied | $358,000.00 | $0.00 | See FINRA Report |
| Thomas Justin Cato | 2913943 | 1 | 10/16/2013 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
| Scott Alan Finley | 3088361 | 2 | 10/14/2013 | Customer Dispute | Denied | $6,025.00 | $0.00 | See FINRA Report |
| Brian Jeffrey Pomarlen | 2701631 | 2 | 09/30/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |