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 |
|---|---|---|---|---|---|---|---|---|
| Mauri Duane Hendrickson | 2136257 | 10 | 02/22/2002 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Kathlene Bresee Allen | 1335310 | 1 | 02/20/2002 | Customer Dispute | Denied | $21,800.00 | $0.00 | See FINRA Report |
| Douglas Earl Milbrath | 2155505 | 4 | 02/17/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Clifford Mc Clure | 2073666 | 3 | 02/15/2002 | Customer Dispute | Denied | $90,000.00 | $0.00 | See FINRA Report |
| Richard Dean Nilsen | 1904250 | 2 | 02/14/2002 | Customer Dispute | Denied | $130,415.00 | $0.00 | See FINRA Report |
| Tim I Cherry | 2610673 | 2 | 02/13/2002 | Customer Dispute | Settled | $104,474.00 | $0.00 | See FINRA Report |
| Zakkour H Chivi | 1987360 | 6 | 02/08/2002 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Zakkour H Chivi | 1987360 | 6 | 02/08/2002 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Zakkour H Chivi | 1987360 | 6 | 02/08/2002 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Carl William Heick | 1218327 | 97 | 02/07/2002 | Customer Dispute | Settled | $62,710.00 | $0.00 | See FINRA Report |