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 |
|---|---|---|---|---|---|---|---|---|
| Stephen Archer Williams | 1572668 | 4 | 11/25/2002 | Customer Dispute | Settled | $17,000.00 | $0.00 | See FINRA Report |
| Richard George Desautels | 1386461 | 2 | 11/19/2002 | Customer Dispute | Denied | $83,500.00 | $0.00 | See FINRA Report |
| Steven Roy Isaacson | 2025949 | 2 | 11/18/2002 | Customer Dispute | Closed-No Action | $33,245.90 | $0.00 | See FINRA Report |
| Mark Ronald Andrews | 2059221 | 1 | 11/18/2002 | Customer Dispute | Denied | $8,000.00 | $0.00 | See FINRA Report |
| Thomas Alfred Hughes | 3043950 | 2 | 11/18/2002 | Customer Dispute | Withdrawn | $40,000.00 | $0.00 | See FINRA Report |
| Tresa Diane Leftenant | 1014199 | 1 | 11/15/2002 | Customer Dispute | Settled | $124,238.00 | $0.00 | See FINRA Report |
| Stephen Patrick Harnden | 1750036 | 3 | 11/15/2002 | Customer Dispute | Denied | $219,000.00 | $0.00 | See FINRA Report |
| Lisa Suzanne Rosenau | 1512229 | 1 | 11/13/2002 | Customer Dispute | Denied | $18,940.50 | $0.00 | See FINRA Report |
| Ralph Edward Muir | 1199188 | 2 | 11/13/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David Raymond Lyon | 2391509 | 4 | 11/13/2002 | Customer Dispute | Denied | $57,000.00 | $0.00 | See FINRA Report |