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 |
|---|---|---|---|---|---|---|---|---|
| Vincent Leonard Petrangelo | 2866580 | 8 | 10/10/2012 | Customer Dispute | Withdrawn | $26,062.30 | $0.00 | See FINRA Report |
| Brian Lee Brode | 1767492 | 1 | 01/24/2012 | Customer Dispute | Withdrawn | $20,186.00 | $0.00 | See FINRA Report |
| Randall Glen Woolley | 4550128 | 1 | 11/08/2011 | Customer Dispute | Withdrawn | $10,484.50 | $0.00 | See FINRA Report |
| Michael Joseph Uvenio | 4519489 | 1 | 09/14/2011 | Customer Dispute | Withdrawn | $320,000.00 | $0.00 | See FINRA Report |
| Carl Fazio | 1195168 | 3 | 05/25/2011 | Customer Dispute | Withdrawn | $20,000.00 | $0.00 | See FINRA Report |
| David Michael Jackson | 2439885 | 2 | 01/07/2011 | Customer Dispute | Withdrawn | $200,000.00 | $0.00 | See FINRA Report |
| Shanon Gerald Moon | 2972931 | 1 | 11/19/2010 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Bryan Roger Daniel | 2224568 | 4 | 08/02/2010 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| John Howard Kopeck | 2366882 | 2 | 06/14/2010 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Vinh Xuan Nguyen | 2944729 | 2 | 07/21/2009 | Customer Dispute | Withdrawn | $21,250.00 | $0.00 | See FINRA Report |