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 |
|---|---|---|---|---|---|---|---|---|
| Lindsey N Chapman | 5210832 | 1 | 06/23/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Timothy K Souhrada | 5139329 | 1 | 04/24/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Robert Scott Judge | 1487303 | 2 | 03/25/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Robert Bovitz | 4851288 | 1 | 03/06/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Vinay Bajaj | 6166035 | 1 | 02/27/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Carmen Smith Lance | 4980630 | 3 | 02/10/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jane Ann Berryman | 3248554 | 2 | 02/05/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Robert Kelly Shanks | 2201495 | 2 | 01/16/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jordan M Saari | 6339156 | 1 | 01/05/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Walter Lewis Satterwhite | 826559 | 2 | 11/26/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |