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 |
|---|---|---|---|---|---|---|---|---|
| Richard Scott Ewing | 3189321 | 6 | 06/16/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Justin Andrew Montandon | 4455879 | 2 | 04/20/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Deborah Kay Ryckman | 1669085 | 1 | 02/29/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Marlene Joanne Burns | 2653628 | 4 | 02/04/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Patrick Gordon Carr | 5025619 | 2 | 02/03/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Derek Steven Fish | 4674722 | 2 | 01/05/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jacob Daniel Dunlap | 2898330 | 1 | 12/29/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Neil Palazzo | 4164798 | 3 | 11/23/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Darin John Schubring | 2126754 | 4 | 10/28/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Steve Walter Marciniak | 4154796 | 4 | 08/19/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |