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 |
|---|---|---|---|---|---|---|---|---|
| Tracey Smith | 2668443 | 1 | 07/16/2024 | Customer Dispute | Pending | $488,428.00 | $0.00 | See FINRA Report |
| Scott Matthew Miller | 4782370 | 1 | 07/16/2024 | Customer Dispute | Denied | $174,788.00 | $0.00 | See FINRA Report |
| Timothy Gerrit van Dyken | 5918814 | 2 | 07/16/2024 | Regulatory | Pending | $0.00 | $0.00 | See FINRA Report |
| Joshua Ryan Chabot | 5546420 | 1 | 07/15/2024 | Customer Dispute | Denied | $22,419.00 | $0.00 | See FINRA Report |
| Ryan Francis Callahan | 5718959 | 1 | 07/15/2024 | Customer Dispute | Denied | $22,419.00 | $0.00 | See FINRA Report |
| James Douglas Ramsey | 6719338 | 1 | 07/12/2024 | Customer Dispute | Denied | $11,200.00 | $0.00 | See FINRA Report |
| Dante Moss | 7010652 | 1 | 07/05/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Clifford Dwayne Okuda | 1994173 | 5 | 07/05/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Robert Bruce Daher | 4731735 | 1 | 07/05/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Marcial A Vargas | 5953263 | 1 | 07/04/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |