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 |
|---|---|---|---|---|---|---|---|---|
| Douglas Harlan Smith | 2566318 | 1 | 03/17/2021 | Customer Dispute | Settled | $14,540.90 | $0.00 | See FINRA Report |
| Craig Bradford Eastwood | 2931709 | 2 | 03/15/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Gregory Michael Silva | 4390323 | 1 | 02/17/2021 | Customer Dispute | Settled | $90,000.00 | $0.00 | See FINRA Report |
| Patricia Ann Gleason | 2811669 | 4 | 02/12/2021 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Velma May Colfack | 1961425 | 2 | 02/10/2021 | Customer Dispute | Settled | $20,174.20 | $0.00 | See FINRA Report |
| Nathan Michael Foret | 2261645 | 1 | 01/25/2021 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |
| Vincent Leonard Petrangelo | 2866580 | 8 | 01/06/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David Robert Topper | 5581608 | 1 | 12/07/2020 | Customer Dispute | Settled | $77,941.00 | $0.00 | See FINRA Report |
| Cynthia G Farnsworth | 5389825 | 1 | 12/02/2020 | Customer Dispute | Settled | $19,636.00 | $0.00 | See FINRA Report |
| Aaron Lee Turner | 2252485 | 4 | 11/30/2020 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |