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 |
|---|---|---|---|---|---|---|---|---|
| Francisco Jose Hernando | 2239094 | 5 | 09/17/2002 | Customer Dispute | Denied | $45,768.40 | $0.00 | See FINRA Report |
| Thaddeus Jude Kenny | 1642119 | 1 | 09/16/2002 | Customer Dispute | Denied | $143,794.00 | $0.00 | See FINRA Report |
| Mark Yukio Kobayashi | 1175251 | 2 | 09/16/2002 | Customer Dispute | Closed-No Action | $343,000.00 | $0.00 | See FINRA Report |
| Douglas Heath McCulloch | 2960829 | 2 | 09/13/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| William James Harris | 2027567 | 1 | 09/12/2002 | Customer Dispute | Denied | $14,700.00 | $0.00 | See FINRA Report |
| Jeffery Dale Chaddock | 1837499 | 5 | 09/12/2002 | Customer Dispute | Settled | $133,000.00 | $0.00 | See FINRA Report |
| Jeffrey Robert Christopher | 1028948 | 4 | 09/10/2002 | Customer Dispute | Denied | $14,600.00 | $0.00 | See FINRA Report |
| Zachary Dale Archer | 4408376 | 2 | 09/05/2002 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Michael Donald Hycki | 2371361 | 1 | 09/04/2002 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| James Spangler Ritter | 1710453 | 2 | 09/04/2002 | Customer Dispute | Denied | $72,741.00 | $0.00 | See FINRA Report |