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 |
|---|---|---|---|---|---|---|---|---|
| Laura Conway Clemens | 6367895 | 4 | 09/11/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Laura Conway Clemens | 6367895 | 4 | 09/10/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jennifer Doherty | 4376547 | 1 | 08/25/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sarah Fae Cox | 7090334 | 2 | 08/19/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Aaron Douglas Hendry | 6114486 | 3 | 08/17/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Anthony Paul Johnson | 5315431 | 1 | 08/04/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Alan Koch | 5482869 | 4 | 08/01/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Cornelius A Williams | 6414574 | 1 | 07/31/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Yvonne H Bass | 1070654 | 3 | 07/16/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Henry Kumpf | 4536205 | 7 | 07/01/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |