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 |
|---|---|---|---|---|---|---|---|---|
| Rick Allan Napholz | 1045314 | 2 | 03/09/2009 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Thais Drummond Piotrowski | 4729077 | 3 | 03/09/2009 | Customer Dispute | Denied | $7,319.00 | $0.00 | See FINRA Report |
| Christopher Misterovich | 1854625 | 1 | 03/03/2009 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| Kent Floyd Thompson | 2183725 | 4 | 03/02/2009 | Customer Dispute | Denied | $1,679,250.00 | $0.00 | See FINRA Report |
| Tim Joseph Meister | 713043 | 3 | 02/27/2009 | Customer Dispute | Denied | $6,000.00 | $0.00 | See FINRA Report |
| Eladio Correa | 1131912 | 3 | 02/26/2009 | Customer Dispute | Denied | $10,559.60 | $0.00 | See FINRA Report |
| Mark Christopher Massaro | 2559891 | 2 | 02/24/2009 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Geri Eisenman Pell | 1555728 | 5 | 02/24/2009 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Brad Stephen Holland | 1600646 | 1 | 02/23/2009 | Customer Dispute | Denied | $13,000.00 | $0.00 | See FINRA Report |
| Marc Douglas Arnold | 2692914 | 2 | 02/18/2009 | Customer Dispute | Denied | $6,500.00 | $0.00 | See FINRA Report |