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 |
|---|---|---|---|---|---|---|---|---|
| Thomas F Kalb | 6489653 | 3 | 05/21/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Leonardo F Chang | 6090971 | 9 | 05/13/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Timothy Wayne Bunt | 7621149 | 1 | 05/13/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Carlos Andres de Leon | 6231875 | 1 | 04/30/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ryan Matthew Gilbert | 5885032 | 1 | 04/18/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Susan Riley Ramirez | 2858986 | 1 | 04/02/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robin Sharma | 6540426 | 8 | 02/26/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Stallone | 4535044 | 3 | 02/21/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas F Kalb | 6489653 | 3 | 02/17/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew Thomas Mierzycki | 6102769 | 5 | 02/13/2020 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |