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 |
|---|---|---|---|---|---|---|---|---|
| Gregory Robert Rochte | 1633581 | 7 | 08/13/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kenneth A Gaddis | 5928042 | 1 | 08/12/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Lisa Irby Gaddis | 2678734 | 1 | 08/12/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Nicholas Patrick Davis | 5612443 | 1 | 07/23/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Andrea Lees Roschke | 5923299 | 3 | 07/19/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Andrea Lees Roschke | 5923299 | 3 | 07/19/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Clifford Dwayne Okuda | 1994173 | 5 | 07/05/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Robert Bruce Daher | 4731735 | 1 | 07/05/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Patrick Anthony Garcia | 2089104 | 1 | 07/02/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Antonio Carlos Beccari | 3073305 | 7 | 06/18/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |