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 |
|---|---|---|---|---|---|---|---|---|
| Richard Jesus Fernandez | 7700670 | 3 | 06/18/1986 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Richard Lee Simpson | 4034268 | 2 | 05/31/1986 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Gregory Matthew Clinard | 2878060 | 3 | 10/23/1985 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Joseph Adiutori | 2378444 | 2 | 09/03/1985 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Anthony Lipscomb | 2286249 | 8 | 07/20/1985 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Sean D Fenton | 2023558 | 3 | 06/15/1985 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Edward Lee Bryan | 1036857 | 4 | 05/24/1985 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Edward Worley Comar | 3060982 | 1 | 12/05/1984 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert Dean Sieps | 1926328 | 1 | 11/26/1984 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Lawrence Rabon | 4693367 | 1 | 09/01/1984 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |