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 |
|---|---|---|---|---|---|---|---|---|
| Agustin Arroyo | 6339139 | 4 | 05/12/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Theresa Harlow Gilley | 5590701 | 19 | 04/30/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Theresa Harlow Gilley | 5590701 | 19 | 04/30/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mary Margaret McClellan | 6002723 | 1 | 04/18/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Agustin Arroyo | 6339139 | 4 | 04/13/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Theresa Harlow Gilley | 5590701 | 19 | 03/31/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Theresa Harlow Gilley | 5590701 | 19 | 03/31/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Spencer David Crume | 6315527 | 1 | 03/29/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sarah Elizabeth Wilson | 5842274 | 1 | 03/15/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jared Dalton Jacob | 7223499 | 1 | 03/07/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |