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 |
|---|---|---|---|---|---|---|---|---|
| Paul Keegan Wheeler | 1918850 | 1 | 10/02/2001 | Customer Dispute | Withdrawn | $88,000.00 | $0.00 | See FINRA Report |
| Rhoda Linnette Christmas | 3130467 | 1 | 09/21/2001 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Bryan Roger Daniel | 2224568 | 4 | 09/20/2001 | Customer Dispute | Denied | $110,000.00 | $0.00 | See FINRA Report |
| G Roger Daniel | 840618 | 3 | 09/16/2001 | Customer Dispute | Denied | $110,000.00 | $0.00 | See FINRA Report |
| Stephen Eugene Mc Cutcheon | 2948061 | 1 | 09/13/2001 | Customer Dispute | Settled | $43,000.00 | $0.00 | See FINRA Report |
| Bradford Scott Sabol | 2496569 | 4 | 09/12/2001 | Customer Dispute | Settled | $35,000.00 | $0.00 | See FINRA Report |
| Joseph Robert Rettig | 1090721 | 7 | 09/05/2001 | Customer Dispute | Settled | $8,000.00 | $0.00 | See FINRA Report |
| Thomas William Uhl | 1146174 | 2 | 09/04/2001 | Customer Dispute | Denied | $28,046.60 | $0.00 | See FINRA Report |
| Bharat Dharamdas Gurnani | 2159905 | 2 | 08/31/2001 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Danielle Nicolette Franchesca Brooks | 4214772 | 1 | 08/31/2001 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |