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 |
|---|---|---|---|---|---|---|---|---|
| Steven Allen Horsley | 2656232 | 5 | 05/22/2020 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Matthew T Mierzycki | 6102769 | 6 | 02/13/2020 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Andrew S Marcucci | 2863154 | 1 | 12/06/2019 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Julie Ann Shemanski | 4180107 | 2 | 12/04/2019 | Customer Dispute | Pending | $92,759.00 | $0.00 | See FINRA Report |
| Thomas Considine Braly | 1303438 | 1 | 11/07/2019 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Matthew T Mierzycki | 6102769 | 6 | 11/06/2019 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Alicia Anne Silva | 3269964 | 1 | 10/31/2019 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Michelle Lynn Simmons | 2944746 | 1 | 10/18/2019 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Laura Conway Clemens | 6367895 | 4 | 08/15/2016 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Carolyn Marie Thur | 704765 | 2 | 02/23/2016 | Customer Dispute | Pending | $225,000.00 | $0.00 | See FINRA Report |