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 |
|---|---|---|---|---|---|---|---|---|
| Alexis Mae McLaughlin | 6232027 | 1 | 09/02/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael E Witt | 4206075 | 3 | 08/19/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Paul Charles Demark | 1400019 | 3 | 06/28/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael David Barth | 1687675 | 2 | 06/10/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kellilynn Kanoelani Coc Smith | 5398305 | 1 | 06/03/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Athena G Gatan | 2571554 | 20 | 04/27/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel McKinley Lowery | 6879061 | 1 | 04/26/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Athena G Gatan | 2571554 | 20 | 04/25/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Athena G Gatan | 2571554 | 20 | 04/14/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Athena G Gatan | 2571554 | 20 | 04/14/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |