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 |
|---|---|---|---|---|---|---|---|---|
| Landon G Freeman | 5038567 | 2 | 11/22/2019 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Oliver Wilson | 7829195 | 2 | 08/28/2019 | 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 |
| Mary Beth Norris | 1189102 | 4 | 09/04/2018 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Gabriel Stephen Ortiz | 7637887 | 1 | 07/20/2018 | 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 |
| William Lance Brant | 7173473 | 1 | 09/22/2017 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Thomas William Daniels | 5798826 | 1 | 07/15/2016 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Carolynn Fellman | 2411320 | 3 | 04/01/2016 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |