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 |
|---|---|---|---|---|---|---|---|---|
| Scott Ira Kaufman | 1858426 | 3 | 10/04/2002 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Daniel James Dole | 3032749 | 2 | 10/03/2002 | Customer Dispute | Closed-No Action | $142,000.00 | $0.00 | See FINRA Report |
| Michael Everett Williams | 2262058 | 2 | 10/03/2002 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| Barry Clayton Gilbertson | 1189394 | 1 | 10/03/2002 | Customer Dispute | Denied | $9,160.00 | $0.00 | See FINRA Report |
| Gregory A Schultze | 2868352 | 2 | 10/02/2002 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Paul Joseph Grande | 1539442 | 8 | 10/01/2002 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Gregory Colin Parsons | 5460952 | 3 | 09/30/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Karl Wilton Harman | 1296284 | 4 | 09/27/2002 | Customer Dispute | Withdrawn | $50,000.00 | $0.00 | See FINRA Report |
| Robert Francis Cerritelli | 2647032 | 2 | 09/26/2002 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Marc Steven Kolopsky | 2743643 | 4 | 09/25/2002 | Customer Dispute | Denied | $47,000.00 | $0.00 | See FINRA Report |