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 |
|---|---|---|---|---|---|---|---|---|
| Paul Henry Giles | 2041288 | 6 | 01/11/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Erez Libschtein | 2599777 | 3 | 01/07/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William Robert Young | 4787488 | 6 | 12/11/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Paul Henry Giles | 2041288 | 6 | 10/09/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Suzanne Marie Pilger | 4551163 | 1 | 10/06/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Randall Charles Rhodes | 2092431 | 2 | 09/08/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Frank Paul Janowitsch | 2230714 | 2 | 08/22/2008 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Gregory Colin Parsons | 5460952 | 3 | 08/18/2008 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Harold Jay Lauber | 811265 | 3 | 08/11/2008 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Gregory Allen Eastman | 2456282 | 4 | 05/05/2008 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |