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 |
|---|---|---|---|---|---|---|---|---|
| Alan Dilworth Ayers | 4180836 | 3 | 06/21/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Hassan Abu-Hassan | 7622016 | 1 | 05/31/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Thomas Lee IV | 2580125 | 6 | 05/23/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Jay Pepe | 1172861 | 9 | 04/28/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mary Elizabeth Bush | 2763866 | 9 | 04/27/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Gerard Joseph Hayes | 1215742 | 2 | 03/21/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Charles Clinton Leonard | 1991879 | 3 | 03/17/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Rene' Tapia Espinoza | 4050886 | 6 | 03/16/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Rene' Tapia Espinoza | 4050886 | 6 | 03/16/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Susan C Olson | 5925327 | 1 | 03/14/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |