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 |
|---|---|---|---|---|---|---|---|---|
| Amanda Nicole Ramos | 5197289 | 2 | 08/20/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Amanda Nicole Ramos | 5197289 | 2 | 08/20/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Keith Anthony Yates | 1564110 | 4 | 07/31/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Theresa Harlow Gilley | 5590701 | 19 | 07/31/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Bobbi Jo Clark Hoger | 4746635 | 4 | 07/28/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Raymond Sturm | 2499479 | 1 | 07/26/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Malena Madariaga | 7127476 | 4 | 07/23/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Gao Yang | 4276193 | 1 | 07/16/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Deborah Ann Christopher | 2505349 | 2 | 07/13/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Marshall Terk | 6272171 | 1 | 07/10/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |