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 |
|---|---|---|---|---|---|---|---|---|
| Valerie Chase | 1741238 | 3 | 05/09/1997 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Audrey K Croft | 4178028 | 13 | 01/09/1997 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Audrey K Croft | 4178028 | 13 | 10/21/1996 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Robert Eugene Sherman | 2305832 | 2 | 04/30/1996 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| John Tao | 2505955 | 4 | 02/23/1996 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Audrey K Croft | 4178028 | 13 | 09/19/1995 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Audrey K Croft | 4178028 | 13 | 03/16/1995 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Frank Miller Staves | 2296731 | 3 | 10/17/1994 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Valerie Chase | 1741238 | 3 | 09/14/1992 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |