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 |
|---|---|---|---|---|---|---|---|---|
| Michael Kenneth Clark | 2580455 | 16 | 10/14/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David Leroy Young | 2455893 | 1 | 10/14/2022 | Customer Dispute | Pending | $6,000.00 | $0.00 | See FINRA Report |
| Roger Russell Williams | 1922734 | 4 | 10/12/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Roger Russell Williams | 1922734 | 4 | 10/12/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Daeshelle Dowdell | 7215752 | 1 | 10/11/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kyle Kristopher Wallentine | 4997836 | 1 | 10/10/2022 | Customer Dispute | Denied | $7,700.00 | $0.00 | See FINRA Report |
| Shawn David Bumgardner | 2492380 | 3 | 10/04/2022 | Customer Dispute | Pending | $500,000.00 | $0.00 | See FINRA Report |
| Anthony Joseph Spizzo | 2936291 | 2 | 09/28/2022 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Emma Nicole Hahn | 7241667 | 1 | 09/27/2022 | Customer Dispute | Denied | $95,126.50 | $0.00 | See FINRA Report |
| Michael Liguori | 2025717 | 1 | 09/26/2022 | Customer Dispute | Denied | $14,003.80 | $0.00 | See FINRA Report |