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 |
|---|---|---|---|---|---|---|---|---|
| Lisa Irby Gaddis | 2678734 | 1 | 08/12/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| George Woerdeman | 1220689 | 3 | 08/08/2024 | Customer Dispute | Pending | $150,000.00 | $0.00 | See FINRA Report |
| Aubrey Leigh Nestman | 5147391 | 1 | 08/04/2024 | Customer Dispute | Denied | $12,000.00 | $0.00 | See FINRA Report |
| Seth Philip Gansman | 6003662 | 1 | 07/31/2024 | Customer Dispute | Pending | $500,000.00 | $0.00 | See FINRA Report |
| Paul John Di Pirro | 4950403 | 1 | 07/29/2024 | Customer Dispute | Pending | $5,000.00 | $0.00 | See FINRA Report |
| Donald Charles Heaney | 1472828 | 2 | 07/25/2024 | Customer Dispute | Pending | $7,000.00 | $0.00 | See FINRA Report |
| Nicholas Patrick Davis | 5612443 | 1 | 07/23/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Andrea Lees Roschke | 5923299 | 3 | 07/19/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Andrea Lees Roschke | 5923299 | 3 | 07/19/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| George Woerdeman | 1220689 | 3 | 07/17/2024 | Customer Dispute | Denied | $91,705.00 | $0.00 | See FINRA Report |