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 Michael Sullivan | 723427 | 7 | 05/11/1988 | Customer Dispute | Settled | $36,000.00 | $0.00 | See FINRA Report |
| Thomas Connor Moss | 844872 | 6 | 01/25/1988 | Customer Dispute | Settled | $1,880.00 | $0.00 | See FINRA Report |
| Allen Dale Baker | 1015222 | 1 | 09/08/1986 | Customer Dispute | Settled | $238,000.00 | $0.00 | See FINRA Report |
| Jeffrey S Rush | 1220200 | 6 | 02/14/1986 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| Salvatore Victor Soldano | 1086234 | 2 | 02/08/1986 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| Robert Bruce Cline | 824874 | 7 | 06/01/1984 | Customer Dispute | Settled | $13,000.00 | $0.00 | See FINRA Report |
| Michael Jude Wincek | 870324 | 3 | 02/21/1984 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |