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 |
|---|---|---|---|---|---|---|---|---|
| Robin Sharma | 6540426 | 8 | 11/18/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robin Sharma | 6540426 | 8 | 11/11/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robin Sharma | 6540426 | 8 | 11/11/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas F Kalb | 6489653 | 3 | 10/02/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Della Marie Tilsher | 7579894 | 1 | 09/22/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Leonardo F Chang | 6090971 | 9 | 09/11/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Laurie Ann Ufnowski | 1548386 | 6 | 09/09/2020 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Debera Hansen-Aiken | 3232228 | 11 | 08/18/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Leonardo F Chang | 6090971 | 9 | 05/27/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Leonardo F Chang | 6090971 | 9 | 05/27/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |