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 |
|---|---|---|---|---|---|---|---|---|
| James Arthur Kujawski | 2075543 | 9 | 08/23/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Vincent Leonard Petrangelo | 2866580 | 7 | 07/23/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Daryl F Devillier | 4069344 | 8 | 07/23/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Julius Patrick Stender | 5322712 | 1 | 07/18/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Luke E Iverson | 6351901 | 1 | 07/06/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Cameron Morgan | 5762520 | 2 | 07/05/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Andrew Kavanaugh Osland | 6117992 | 1 | 06/11/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Brian Degner | 2364726 | 1 | 02/06/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Patrick Theodore Wayman | 2983371 | 5 | 10/12/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Randall Soward | 4608931 | 1 | 08/15/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |