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 |
|---|---|---|---|---|---|---|---|---|
| Daeshelle Dowdell | 7215752 | 1 | 10/11/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Gholamreza Shirazi | 2515508 | 11 | 09/15/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael David Barth | 1687675 | 3 | 06/10/2022 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Kellilynn Kanoelani Coc Smith | 5398305 | 1 | 06/03/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Alan Goshen | 1276435 | 2 | 05/16/2022 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Athena G Gatan | 2571554 | 20 | 04/27/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Athena G Gatan | 2571554 | 20 | 04/25/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Athena G Gatan | 2571554 | 20 | 04/14/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Athena G Gatan | 2571554 | 20 | 04/14/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Athena G Gatan | 2571554 | 20 | 04/14/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |