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 |
|---|---|---|---|---|---|---|---|---|
| Robin Ligon Matthews | 4580591 | 9 | 04/26/2023 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Paul Allen Berkman | 1002769 | 5 | 02/08/2023 | Customer Dispute | Pending | $730,000.00 | $0.00 | See FINRA Report |
| Robin Ligon Matthews | 4580591 | 9 | 01/31/2023 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Kevin John Deangelis | 2423942 | 5 | 01/27/2023 | Customer Dispute | Pending | $100,000.00 | $0.00 | See FINRA Report |
| Corey Ryan Schepper | 4413872 | 1 | 12/16/2021 | Customer Dispute | Pending | $50,000.00 | $0.00 | See FINRA Report |
| David Norman Adams | 1575083 | 3 | 11/19/2021 | Customer Dispute | Pending | $250,000.00 | $0.00 | See FINRA Report |
| Thomas Joseph Westlund | 2774934 | 1 | 04/15/2021 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Kimberly Kent | 4920018 | 7 | 02/24/2021 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Steven Allen Horsley | 2656232 | 5 | 12/13/2020 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Steven Allen Horsley | 2656232 | 5 | 09/15/2020 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |