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 |
|---|---|---|---|---|---|---|---|---|
| Lisa Ann Brooks | 4290124 | 1 | 03/30/2009 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Alfred Thomas Nelson | 823002 | 4 | 03/30/2009 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Mitchell Steven Rock | 1451592 | 9 | 03/30/2009 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| David John de Rhodo | 1245299 | 2 | 03/27/2009 | Customer Dispute | Denied | $38,000.00 | $0.00 | See FINRA Report |
| Jeffrey Biscardi | 1228467 | 1 | 03/27/2009 | Customer Dispute | Denied | $7,200.00 | $0.00 | See FINRA Report |
| Sandy Misenheimer Pelot | 4351100 | 1 | 03/27/2009 | Customer Dispute | Denied | $12,080.60 | $0.00 | See FINRA Report |
| Mark Alexis Ohler | 4250864 | 3 | 03/25/2009 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Henry Joseph Pofi | 1930919 | 1 | 03/25/2009 | Customer Dispute | Denied | $70,000.00 | $0.00 | See FINRA Report |
| Pedro Jose Escobar | 2785268 | 2 | 03/24/2009 | Customer Dispute | Denied | $45,103.90 | $0.00 | See FINRA Report |
| Kimbery S Powell | 4626015 | 2 | 03/24/2009 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |