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 |
|---|---|---|---|---|---|---|---|---|
| Ian Campbell McGee | 4639740 | 2 | 11/30/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Brian Robert Titus | 4229261 | 2 | 11/23/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Richard Alan Brende | 4595363 | 4 | 11/14/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Deborah Ann Hecht | 2188537 | 2 | 11/09/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Laurie Ann Ufnowski | 1548386 | 6 | 11/07/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David Lee Nethery | 2185524 | 9 | 11/04/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Ian Campbell McGee | 4639740 | 2 | 10/31/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Julius Carabini | 2127741 | 12 | 10/31/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Thomas Lee IV | 2580125 | 6 | 10/17/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Kenneth Clark | 2580455 | 16 | 10/14/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |