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 |
|---|---|---|---|---|---|---|---|---|
| Lewis Edward Wollenweber | 1182340 | 3 | 08/31/1992 | Customer Dispute | Settled | $42,000.00 | $0.00 | See FINRA Report |
| Charles Michael Harvey | 1412569 | 3 | 07/20/1992 | Customer Dispute | Settled | $27,000.00 | $0.00 | See FINRA Report |
| Shelly J Donovan | 1001389 | 10 | 06/24/1992 | Customer Dispute | Settled | $110,000.00 | $0.00 | See FINRA Report |
| Shelly J Donovan | 1001389 | 10 | 05/27/1992 | Customer Dispute | Settled | $296,500.00 | $0.00 | See FINRA Report |
| Christine Gustafson | 1303708 | 4 | 03/31/1992 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John Devers Hursh | 1083427 | 2 | 03/02/1992 | Customer Dispute | Settled | $21,961.00 | $0.00 | See FINRA Report |
| Mark John Zipfel | 1179677 | 14 | 02/28/1992 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Robert Bruce Mc Call | 863509 | 2 | 02/25/1992 | Customer Dispute | Settled | $95,000.00 | $0.00 | See FINRA Report |
| Mark John Zipfel | 1179677 | 14 | 02/20/1992 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Shelly J Donovan | 1001389 | 10 | 01/15/1992 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |