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 |
|---|---|---|---|---|---|---|---|---|
| Dana Lianne Gibbs | 2260208 | 2 | 07/14/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Scott Arthur Conan Notman | 7150328 | 1 | 07/03/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Daniel Jeffrey Roeschlein | 5861900 | 1 | 06/20/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Tyler David Hallagin | 6189144 | 1 | 04/03/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Patrick Christian Bortz | 6056846 | 2 | 01/25/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Sarah MacIas Vargas | 7325648 | 1 | 12/21/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Hector Millan-Alvarado | 6803533 | 4 | 11/13/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Steven Dean Jones | 1783656 | 3 | 07/22/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Douglas Ross | 6073269 | 1 | 07/07/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Tyler Richard Whittier | 6066794 | 3 | 05/13/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |