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 |
|---|---|---|---|---|---|---|---|---|
| Leslie John Niemeyer | 2166541 | 2 | 01/16/2003 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Dale Alan Goff | 2407679 | 1 | 01/16/2003 | Customer Dispute | Denied | $11,000.00 | $0.00 | See FINRA Report |
| Rick Thomas Holewinski | 2062398 | 4 | 01/15/2003 | Customer Dispute | Denied | $71,000.00 | $0.00 | See FINRA Report |
| Mauri Duane Hendrickson | 2136257 | 10 | 01/15/2003 | Customer Dispute | Closed-No Action | $471,000.00 | $0.00 | See FINRA Report |
| Denice Hong Oliver | 2993616 | 1 | 01/14/2003 | Customer Dispute | Settled | $1,125.00 | $0.00 | See FINRA Report |
| Laurie Poms O'Toole | 2745010 | 2 | 01/13/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Christopher John Jacobi | 1648679 | 5 | 01/13/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Bryan Roger Daniel | 2224568 | 4 | 01/10/2003 | Customer Dispute | Closed-No Action | $53,000.00 | $0.00 | See FINRA Report |
| Stanley Robert Jahn | 850546 | 3 | 01/09/2003 | Customer Dispute | Settled | $31,000.00 | $0.00 | See FINRA Report |
| Jac Burton Stulberg | 1473233 | 9 | 01/08/2003 | Customer Dispute | Settled | $14,543.00 | $0.00 | See FINRA Report |