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 |
|---|---|---|---|---|---|---|---|---|
| Joseph William Stroede | 1543280 | 1 | 06/03/2002 | Customer Dispute | Denied | $28,240.00 | $0.00 | See FINRA Report |
| Robert Francis Cerritelli | 2647032 | 2 | 05/31/2002 | Customer Dispute | Denied | $6,873.09 | $0.00 | See FINRA Report |
| Clarence Earl Marshall | 1089058 | 1 | 05/30/2002 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Thomas Alfred Hughes | 3043950 | 2 | 05/30/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Victor Clay Amaya | 2731310 | 1 | 05/30/2002 | Customer Dispute | Denied | $39,097.40 | $0.00 | See FINRA Report |
| Michel Ross Girardi | 1101575 | 7 | 05/29/2002 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Uli Oliver P Mueller | 2811813 | 1 | 05/28/2002 | Customer Dispute | Denied | $118,957.00 | $0.00 | See FINRA Report |
| Zachary Dale Archer | 4408376 | 2 | 05/26/2002 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Mauri Duane Hendrickson | 2136257 | 10 | 05/24/2002 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Howard Andrew Swanfeldt | 2392126 | 1 | 05/24/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |