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 |
|---|---|---|---|---|---|---|---|---|
| Athena G Gatan | 2571554 | 20 | 04/14/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Augustine Dominique Choi | 4278755 | 6 | 04/13/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Athena G Gatan | 2571554 | 20 | 04/13/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Athena G Gatan | 2571554 | 20 | 03/15/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Athena G Gatan | 2571554 | 20 | 03/15/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Trent Morgan Flath | 7440323 | 3 | 03/11/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Athena G Gatan | 2571554 | 20 | 03/04/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Miguel Angel Soriano | 7070605 | 2 | 03/03/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Athena G Gatan | 2571554 | 20 | 02/23/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Athena G Gatan | 2571554 | 20 | 02/23/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |