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 |
|---|---|---|---|---|---|---|---|---|
| Joseph Randall Wesley | 2351330 | 1 | 09/02/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Lynn van Geffen | 1890754 | 3 | 08/23/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kelvin John Pettaway | 4693504 | 2 | 06/30/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael E. Witt | 4206075 | 3 | 06/29/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Timothy John Dijak | 1278867 | 3 | 06/17/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Hector Millan-Alvarado | 6803533 | 5 | 06/14/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Cheryl B Casebere | 2991982 | 2 | 05/17/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Laurie Susan Cohen | 2344878 | 5 | 04/08/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Gordon Leonard Bryan | 1292315 | 5 | 03/30/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Kenneth Clark | 2580455 | 16 | 03/11/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |