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 |
|---|---|---|---|---|---|---|---|---|
| Walter S Schram | 1728096 | 8 | 01/13/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| William E Johnston | 6166577 | 2 | 01/06/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Diana Dirocco | 6106682 | 3 | 01/01/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Natalie Margaret Compton | 5319078 | 1 | 12/31/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Benjamin T Lacroix | 6414417 | 2 | 12/31/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jacqueline Kaye Taradash-Bennett | 2849311 | 2 | 12/21/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jacqueline Danielle Weinstein | 4040810 | 4 | 11/30/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jason Thomas Schuler | 4246875 | 1 | 11/30/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Alexander Cunningham | 5929407 | 1 | 11/15/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Walter S Schram | 1728096 | 8 | 11/13/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |