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 |
|---|---|---|---|---|---|---|---|---|
| Roger James van Loo | 4858060 | 3 | 03/22/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Richard Costa | 4560771 | 2 | 03/03/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ken Tatsuo Kondo | 2125181 | 1 | 02/28/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Alene Marie Crow | 5229488 | 3 | 01/05/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jason Patrick Atwater | 5993415 | 1 | 11/27/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Steven Douglas Swartz | 2419915 | 1 | 11/21/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Nicholas Albert Tomasulo | 5939322 | 1 | 09/23/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Anthony Daniel James | 5153061 | 1 | 06/25/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Nathan Lowell Steen | 4825706 | 1 | 04/15/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Christopher Santos Cagadas | 4624589 | 2 | 04/13/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |