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 |
|---|---|---|---|---|---|---|---|---|
| William Loman | 7720544 | 1 | 07/26/2013 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert Louis Nagy | 2492917 | 4 | 07/23/2013 | 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 |
| Robert Bryan Perez | 7817627 | 1 | 07/27/2012 | 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 |
| Cyril Mathew | 7002283 | 1 | 05/15/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Sean Joseph Kacer | 5924818 | 1 | 01/01/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |