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 |
|---|---|---|---|---|---|---|---|---|
| Thomas Jay Stout | 4152811 | 1 | 03/18/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Eric James Palombo | 6843780 | 1 | 03/13/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| David Lynn van Geffen | 1890754 | 3 | 03/06/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Michael John Goldammer | 2375371 | 1 | 02/14/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Paul Sutton Kosling | 1138794 | 2 | 01/29/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Austin Furniss | 6977967 | 1 | 12/06/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Nermin Khalil | 6178379 | 1 | 11/11/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jeffrey Shover | 2388655 | 3 | 10/17/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| James Clyde Davis | 5214805 | 1 | 10/16/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Christina Lynne Taylor | 5001832 | 2 | 10/07/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |