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 |
|---|---|---|---|---|---|---|---|---|
| Bruce Hefner Quick | 1574427 | 2 | 10/11/2002 | Customer Dispute | Denied | $400,000.00 | $0.00 | See FINRA Report |
| Christopher Newbold Robinson | 2656841 | 1 | 10/11/2002 | Customer Dispute | Withdrawn | $29,000.00 | $0.00 | See FINRA Report |
| Paul Jan van Steen | 729072 | 2 | 10/10/2002 | Customer Dispute | Denied | $23,619.00 | $0.00 | See FINRA Report |
| Robert Lloyd Gutner | 1147280 | 4 | 10/10/2002 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| James Edward Sims | 2474710 | 2 | 10/09/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Carl William Heick | 1218327 | 97 | 10/08/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Carl William Heick | 1218327 | 97 | 10/08/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Carl William Heick | 1218327 | 97 | 10/08/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Carl William Heick | 1218327 | 97 | 10/08/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Carl William Heick | 1218327 | 97 | 10/08/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |