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 |
|---|---|---|---|---|---|---|---|---|
| Heath Patrick Larkin | 5379931 | 2 | 12/02/1991 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Steven Michael Landy | 2262716 | 3 | 09/21/1991 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Alexander Umansky | 3005872 | 3 | 08/15/1991 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Valerie Chase | 1741238 | 3 | 06/25/1991 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert Louis Nagy | 2492917 | 4 | 06/11/1991 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Sean Eldon Murphy | 2520276 | 1 | 06/07/1991 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Christopher Lee Feutz | 3096129 | 2 | 03/21/1991 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Bradley L Hensley | 4936388 | 1 | 03/07/1991 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Christopher David Kauker | 4470494 | 1 | 01/09/1991 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Phillip Richard Williams | 2837041 | 3 | 12/06/1990 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |