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 |
|---|---|---|---|---|---|---|---|---|
| Michael Stuart Roberts | 4501814 | 1 | 01/24/2023 | Customer Dispute | Settled | $8,372.91 | $0.00 | See FINRA Report |
| Kevin Douglas Houser | 2513167 | 6 | 12/27/2022 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Thad Rankin Bisselle | 1199497 | 5 | 12/21/2022 | Customer Dispute | Settled | $35,000.00 | $0.00 | See FINRA Report |
| Richard Lee Simpson | 4034268 | 2 | 11/28/2022 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| Paul Andrew Siegel | 2828360 | 2 | 11/21/2022 | Customer Dispute | Settled | $8,779.13 | $0.00 | See FINRA Report |
| Pedro Jose Escobar | 2785268 | 2 | 11/11/2022 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Brian Robert Titus | 4229261 | 2 | 11/08/2022 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Kevin Hill | 6472497 | 1 | 11/07/2022 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Roy Chuck Waugh | 2130562 | 3 | 10/24/2022 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Brock Justin Brady | 4638576 | 1 | 10/20/2022 | Customer Dispute | Settled | $270,000.00 | $0.00 | See FINRA Report |