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 |
|---|---|---|---|---|---|---|---|---|
| Keith William Paglierani | 4908446 | 1 | 04/03/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Miguel Alexander Riveros | 4992271 | 2 | 04/02/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Colin Peter Creegan | 3175361 | 1 | 03/16/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Nicholas Paul Lombardi | 7817269 | 1 | 01/11/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Heidi Eva Smith | 4774551 | 1 | 09/24/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Brian Eugene Wasson | 4329934 | 2 | 09/08/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Daniel Jon Harris | 4517619 | 1 | 08/25/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Douglas Covington Osborn | 867592 | 6 | 07/14/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Scott Wiley | 4547791 | 2 | 06/18/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Nicole Phui Vong | 5986062 | 2 | 06/12/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |