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 |
|---|---|---|---|---|---|---|---|---|
| Eric Nompleggi | 6045569 | 1 | 06/20/2024 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Lee Leroy | 2793132 | 1 | 10/04/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Michael James Huberty | 7448925 | 1 | 06/21/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Leo Peter Varriale | 4970906 | 1 | 04/28/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Cory James Clem | 5760743 | 2 | 01/20/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| 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 | |
| Robin Ligon Matthews | 4580591 | 9 | 03/31/2022 | 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 |