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 |
|---|---|---|---|---|---|---|---|---|
| Donald Charles Heaney | 1472828 | 2 | 07/25/2024 | Customer Dispute | Pending | $7,000.00 | $0.00 | See FINRA Report |
| Tracey Smith | 2668443 | 1 | 07/16/2024 | Customer Dispute | Pending | $488,428.00 | $0.00 | See FINRA Report |
| Timothy Gerrit van Dyken | 5918814 | 2 | 07/16/2024 | Regulatory | Pending | $0.00 | $0.00 | See FINRA Report |
| Marcial A Vargas | 5953263 | 1 | 07/04/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Robin Ligon Matthews | 4580591 | 9 | 06/07/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Cynthia Griffith Magner | 2591698 | 1 | 06/05/2024 | Customer Dispute | Pending | $100,000.00 | $0.00 | See FINRA Report |
| Robert Alan Koch | 5482869 | 4 | 05/17/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Nicholas Paul Stamatis | 4907890 | 1 | 04/17/2024 | Customer Dispute | Pending | $80,000.00 | $0.00 | See FINRA Report |
| Mark Richard Beck | 6665794 | 1 | 03/06/2024 | Customer Dispute | Pending | $149,476.00 | $0.00 | See FINRA Report |
| David Victor Janny | 1272727 | 7 | 02/12/2024 | Customer Dispute | Pending | $500,000.00 | $0.00 | See FINRA Report |