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 |
|---|---|---|---|---|---|---|---|---|
| Matthew Thomas Mierzycki | 6102769 | 5 | 06/30/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Laurie Ann Ufnowski | 1548386 | 6 | 06/24/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Charles Packenham | 7339100 | 3 | 06/07/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Andrew Jay Boneparth | 1677189 | 2 | 05/27/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jacob Woodson Ritter | 5976441 | 1 | 05/19/2021 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Andrew Jay Boneparth | 1677189 | 2 | 05/18/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Laurie Ann Ufnowski | 1548386 | 6 | 04/21/2021 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Thomas Joseph Westlund | 2774934 | 1 | 04/15/2021 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Leonardo F Chang | 6090971 | 9 | 03/10/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Josefa Sandhill | 6266835 | 2 | 03/09/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |