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 |
---|---|---|---|---|---|---|---|---|
Bradley Alan Harder | 4432075 | 1 | 12/13/2023 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
Jesse Carl Hanson | 7555056 | 1 | 10/11/2023 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
Lee Francis Tracy | 2431864 | 2 | 09/21/2023 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
Matthew Charles Baum | 6942874 | 2 | 07/05/2023 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
George Jacob Najm | 7841742 | 1 | 06/25/2022 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
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 |
Brandon Benson | 7868811 | 1 | 01/22/2021 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
John Oliver Wilson | 7829195 | 2 | 12/27/2020 | 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 |