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 |
|---|---|---|---|---|---|---|---|---|
| Paul Thomas Stansberry | 717878 | 23 | 02/20/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Paul Thomas Stansberry | 717878 | 23 | 02/20/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Paul Thomas Stansberry | 717878 | 23 | 02/20/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Gary Lee Harr | 2683375 | 2 | 02/19/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Victor Janny | 1272727 | 7 | 02/12/2024 | Customer Dispute | Pending | $500,000.00 | $0.00 | See FINRA Report |
| Ronald C Denova | 1673284 | 2 | 02/08/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Karen M Tarpey | 2281900 | 2 | 02/08/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Karen M Tarpey | 2281900 | 2 | 02/07/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Richard Ray Miller | 2529324 | 3 | 02/04/2024 | Customer Dispute | Settled | $10,953.70 | $0.00 | See FINRA Report |
| Charles Clinton Leonard | 1991879 | 11 | 01/17/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |