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 |
|---|---|---|---|---|---|---|---|---|
| John Gerald Mulka | 6318066 | 7 | 03/06/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jesse Scott Jones | 5189367 | 3 | 02/18/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Karen Jean Cerasa Dotson | 2959050 | 6 | 02/09/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John Michael Wallop | 3027585 | 1 | 02/08/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Renee' Martone-Cecil | 2434830 | 2 | 01/31/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Theresa Harlow Gilley | 5590701 | 19 | 01/31/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Karen Jean Cerasa Dotson | 2959050 | 6 | 01/22/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Louis Gabriel Frates | 5897890 | 1 | 01/02/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Theresa Harlow Gilley | 5590701 | 19 | 12/31/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Diana Carolina Monsalve | 6773900 | 1 | 12/14/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |