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 |
|---|---|---|---|---|---|---|---|---|
| Keith Gaines Drago | 858785 | 4 | 07/31/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Augustine Dominique Choi | 4278755 | 6 | 05/04/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Nancy Sherif Daoud | 1073514 | 8 | 04/29/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew Thomas Simard | 4608036 | 1 | 12/17/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Kenneth Clark | 2580455 | 16 | 12/04/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Timothy John Dijak | 1278867 | 4 | 10/28/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Patrick Theodore Wayman | 2983371 | 5 | 10/18/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Alex Scott Grausnick | 5994313 | 1 | 08/22/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Douglas Earl Milbrath | 2155505 | 4 | 05/28/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jesse Lynn Webb | 2298761 | 5 | 09/05/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |