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 |
|---|---|---|---|---|---|---|---|---|
| Braxton D Miller | 7606560 | 1 | 06/11/2021 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Darryl Richardson Ruffen | 2592000 | 1 | 06/07/2021 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jordan Allan | 6736226 | 1 | 12/02/2020 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Sarah Lacey Slater | 6770443 | 1 | 02/24/2020 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Mark Thomas Dorsey | 3081604 | 2 | 12/16/2019 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Landon G Freeman | 5038567 | 2 | 11/22/2019 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kenneth Edward Schimpf | 2707490 | 5 | 03/18/2019 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ryan William Sondak | 7123739 | 1 | 12/19/2018 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Todd Loring Luft | 2310647 | 5 | 04/10/2018 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Tyler Michael Recknor | 7189642 | 1 | 01/16/2018 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |