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 |
|---|---|---|---|---|---|---|---|---|
| Mark Alan Sanman | 3270037 | 2 | 08/09/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Gregory Glenn Downs | 2656707 | 1 | 05/12/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Clifford Mc Clure | 2073666 | 3 | 04/28/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Geoffrey Bennett Lee | 4698863 | 3 | 08/19/2004 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Scott Weiner | 1290621 | 1 | 08/10/2004 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Dwayne Keith Kitchen | 1113765 | 1 | 07/13/2004 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Dennis Jay Persky | 708583 | 4 | 05/25/2004 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Fred Zanders | 475794 | 7 | 01/09/2004 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John A Erickson | 834150 | 4 | 10/13/2003 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Charles Christian Grinkmeyer | 2906437 | 2 | 06/26/2003 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |