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 |
|---|---|---|---|---|---|---|---|---|
| David Lee Nethery | 2185524 | 9 | 11/04/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Bryan Scott Vandussen | 6187184 | 1 | 11/03/2022 | Customer Dispute | Denied | $11,000.00 | $0.00 | See FINRA Report |
| Anida Venniro | 5121189 | 2 | 11/02/2022 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Ian Campbell McGee | 4639740 | 2 | 10/31/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mark William Nelson | 5074803 | 1 | 10/31/2022 | Customer Dispute | Pending | $76,355.10 | $0.00 | See FINRA Report |
| James Julius Carabini | 2127741 | 12 | 10/31/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Everett Bryant Ellis | 4046494 | 6 | 10/25/2022 | Customer Dispute | Pending | $5,000.00 | $0.00 | See FINRA Report |
| Roy Chuck Waugh | 2130562 | 3 | 10/24/2022 | Customer Dispute | Pending | $300,000.00 | $0.00 | See FINRA Report |
| Terry Dale Sherrill | 4200940 | 1 | 10/21/2022 | Customer Dispute | Pending | $10,000.00 | $0.00 | See FINRA Report |
| James Thomas Lee IV | 2580125 | 6 | 10/17/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |