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 |
|---|---|---|---|---|---|---|---|---|
| Ernest Velez | 1571990 | 1 | 04/07/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ryan Elmo Inouye | 6119906 | 1 | 11/17/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Theodore Grier Trafton | 5227008 | 1 | 10/31/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Andrew Allen Hanna | 4684640 | 1 | 10/08/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Anthony Perez | 4789836 | 1 | 10/07/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Miguel Alexander Riveros | 4992271 | 2 | 10/05/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Carolynn Fellman | 2411320 | 3 | 09/08/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Todd Wyatt | 5709972 | 1 | 06/30/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Journel Maurice Gibbs | 5148466 | 1 | 05/06/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William Spencer Street | 6415728 | 1 | 05/02/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |