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 |
|---|---|---|---|---|---|---|---|---|
| Patrick Anthony Garcia | 2089104 | 1 | 07/02/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David Cameron Monckton | 2252224 | 5 | 07/01/2024 | Customer Dispute | Denied | $35,000.00 | $0.00 | See FINRA Report |
| Sheree Lynn Ziemba | 4057185 | 1 | 06/21/2024 | Customer Dispute | Settled | $15,143.80 | $0.00 | See FINRA Report |
| Eric Nompleggi | 6045569 | 1 | 06/20/2024 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Roger Dewayne Holland | 4102802 | 1 | 06/20/2024 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Charles Clinton Leonard | 1991879 | 11 | 06/19/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Antonio Carlos Beccari | 3073305 | 7 | 06/18/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Christopher John Jacobi | 1648679 | 5 | 06/12/2024 | Customer Dispute | Denied | $150,849.00 | $0.00 | See FINRA Report |
| Evan Scott Branfman | 3270650 | 5 | 06/11/2024 | Customer Dispute | Denied | $13,207.10 | $0.00 | See FINRA Report |
| Ashlie Suzanne Kaess | 4211691 | 1 | 06/08/2024 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |