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 |
|---|---|---|---|---|---|---|---|---|
| Roger Russell Williams | 1922734 | 4 | 10/12/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Roger Russell Williams | 1922734 | 4 | 10/12/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Robert Nelson Deardorff | 4689440 | 5 | 09/20/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mary Vinodhini Smith | 2730623 | 1 | 09/09/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Thomas Lee IV | 2580125 | 6 | 08/12/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jeric Dee Wisecup | 4011365 | 2 | 08/01/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Anthony Vincent Sciuto | 2101491 | 5 | 07/21/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Carlos Jose Bertran | 2047469 | 5 | 07/19/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Patrick Miles Mc Keown | 1576475 | 1 | 07/18/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Deborah Ann Hecht | 2188537 | 2 | 06/28/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |