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 |
|---|---|---|---|---|---|---|---|---|
| Michael David Kendall | 4637548 | 4 | 09/15/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Matthew Todd Flynn | 2285454 | 3 | 09/10/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Eugene W Antosh | 5450983 | 1 | 07/09/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Tristin Michelle Hotaling | 4460606 | 2 | 06/04/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Joel Eziekel Blum | 4905379 | 2 | 02/04/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Christopher Joseph Mallory | 2907143 | 5 | 02/03/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Patrick Gordon Carr | 5025619 | 2 | 08/29/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Derek Steven Fish | 4674722 | 2 | 08/29/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Christopher Michael Litty | 4612948 | 1 | 08/08/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Gerard Simonelli | 1431397 | 5 | 08/06/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |