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 |
|---|---|---|---|---|---|---|---|---|
| Fernando O Velasco | 7477981 | 1 | 11/10/2014 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Dominic Paul Kennedy | 7302727 | 1 | 10/27/2014 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Omar Valderrama | 7481566 | 1 | 07/21/2014 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Joseph M Ball | 6947614 | 2 | 05/17/2014 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Chontel Ann Perez | 6002651 | 3 | 02/05/2014 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Brian Lewis Floyd | 6777903 | 1 | 02/28/2013 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Steven Dennis Parrett | 2314863 | 1 | 12/04/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Anthony Patrick Ryan | 6241601 | 1 | 11/09/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Joseph Charles Klages | 1042028 | 1 | 10/23/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Joseph M Ball | 6947614 | 2 | 07/06/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |