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 |
|---|---|---|---|---|---|---|---|---|
| Edward Wayne Charton | 1176323 | 2 | 06/10/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Karen Cecilia Burkhart | 1791881 | 1 | 05/04/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Mark Lott | 5015817 | 1 | 04/07/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Kristin Elizabeth Rossell | 5480035 | 1 | 12/06/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Stacy James Matter | 6924557 | 1 | 11/12/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Matthew Thomas Mierzycki | 6102769 | 5 | 10/28/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Laurie Ann Ufnowski | 1548386 | 6 | 08/13/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Shivam S Mittal | 6782339 | 1 | 07/14/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Michael Peter Dmytryshyn | 2203199 | 2 | 02/04/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Richard F Spettell | 1686392 | 2 | 02/04/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |