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 |
|---|---|---|---|---|---|---|---|---|
| Stacy Marie Rolf | 5166904 | 1 | 11/21/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Considine Braly | 1303438 | 1 | 11/07/2019 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Matthew T Mierzycki | 6102769 | 6 | 11/06/2019 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Miguel Angel Soriano | 7070605 | 2 | 11/01/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Alicia Anne Silva | 3269964 | 1 | 10/31/2019 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Michelle Lynn Simmons | 2944746 | 1 | 10/18/2019 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Erica Lyn Johnson | 6257876 | 1 | 10/15/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Adrian Rosendo Castillo | 6055514 | 2 | 10/14/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brian Uzan Villanueva | 7064915 | 2 | 10/11/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brian Uzan Villanueva | 7064915 | 2 | 10/11/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |