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 |
|---|---|---|---|---|---|---|---|---|
| Dana Marie Ferrell | 2818732 | 2 | 05/07/2010 | Customer Dispute | Denied | $24,803.10 | $0.00 | See FINRA Report |
| Sean Allen Smalley | 2967313 | 1 | 05/06/2010 | Customer Dispute | Denied | $48,000.00 | $0.00 | See FINRA Report |
| Jennifer Lynn Sauer | 5104686 | 1 | 05/04/2010 | Customer Dispute | Denied | $9,865.00 | $0.00 | See FINRA Report |
| William Patrick Marshall | 1942512 | 4 | 05/03/2010 | Customer Dispute | Denied | $15,000.00 | $0.00 | See FINRA Report |
| Randall Everett Benedict | 4800929 | 1 | 05/03/2010 | Customer Dispute | Denied | $5,400.00 | $0.00 | See FINRA Report |
| James Clair Morrow | 1012760 | 3 | 04/30/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jan Marie Spielman | 2301481 | 2 | 04/29/2010 | Customer Dispute | Denied | $15,000.00 | $0.00 | See FINRA Report |
| Michael Paul Phillips | 4523872 | 1 | 04/26/2010 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Seth Charles Murray | 4211121 | 1 | 04/22/2010 | Customer Dispute | Denied | $6,395.00 | $0.00 | See FINRA Report |
| Brett Wayne Meyer | 2059017 | 3 | 04/21/2010 | Customer Dispute | Denied | $27,860.00 | $0.00 | See FINRA Report |