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 |
|---|---|---|---|---|---|---|---|---|
| Oscar Tapia | 4203435 | 1 | 12/21/2006 | Customer Dispute | Withdrawn | $6,558.63 | $0.00 | See FINRA Report |
| Thomas Scott Robbins | 1497264 | 3 | 06/20/2006 | Customer Dispute | Withdrawn | $104,000.00 | $0.00 | See FINRA Report |
| Todd Michael Stepniewski | 1359838 | 4 | 04/10/2006 | Customer Dispute | Withdrawn | $13,783.00 | $0.00 | See FINRA Report |
| Barbara Amberg O'Connor | 4547056 | 1 | 09/14/2005 | Customer Dispute | Withdrawn | $10,415.00 | $0.00 | See FINRA Report |
| Michael Patrick Coffield | 1216018 | 7 | 04/07/2005 | Customer Dispute | Withdrawn | $5,000.00 | $0.00 | See FINRA Report |
| John Vladimir Kejas | 1265998 | 1 | 08/23/2004 | Customer Dispute | Withdrawn | $5,000.00 | $0.00 | See FINRA Report |
| Lisa Anne Puttick | 3207926 | 1 | 08/20/2004 | Customer Dispute | Withdrawn | $5,000.00 | $0.00 | See FINRA Report |
| Brian Allan Curry | 723260 | 2 | 06/23/2004 | Customer Dispute | Withdrawn | $5,000.00 | $0.00 | See FINRA Report |
| Barry Mitchell Dershaw | 2975165 | 3 | 06/17/2004 | Customer Dispute | Withdrawn | $20,408.00 | $0.00 | See FINRA Report |
| William Rutledge Norton | 3052582 | 1 | 04/21/2004 | Customer Dispute | Withdrawn | $34,982.50 | $0.00 | See FINRA Report |