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 |
|---|---|---|---|---|---|---|---|---|
| Allison Hope Tuthill | 6968588 | 1 | 12/21/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Lee Francis Tracy | 2431864 | 2 | 10/03/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Vincent Notarianni | 4496075 | 1 | 07/15/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Shana Jean Hudson | 2393346 | 1 | 05/16/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Gabriel Jonathon Glimcher | 6601107 | 1 | 02/22/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Adriana Isabel Guzman | 6189210 | 1 | 01/26/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Brandon Michael Schoeppler | 5733905 | 1 | 01/20/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Vincent Thomas Ferrara | 1791902 | 3 | 12/31/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Marlond Lennell Day | 6806097 | 3 | 09/23/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Bethany Leigh Beauchamp | 6250891 | 7 | 08/11/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |