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 |
|---|---|---|---|---|---|---|---|---|
| Glen H Bunkowske | 3248690 | 1 | 09/01/1975 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Edward Martin Buenaga | 5363420 | 1 | 02/20/1975 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Bruce Dantzler Higgison | 1107835 | 1 | 01/05/1975 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Joseph Hlivko | 2005606 | 3 | 03/05/1974 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Chapman Fields | 3237684 | 2 | 02/01/1974 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Chapman Fields | 3237684 | 2 | 02/01/1974 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William Haywood Walters | 1219745 | 4 | 12/30/1972 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Shahrokh David Firouzan | 1911266 | 2 | 05/27/1972 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Roger Andre Auger | 841804 | 2 | 04/12/1972 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Keith Ritchie | 722446 | 4 | 05/28/1971 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |