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 |
|---|---|---|---|---|---|---|---|---|
| Brian Michael Megibow | 3083501 | 4 | 05/04/2001 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Stephen Joseph Gesualdi | 1913247 | 3 | 05/02/2001 | Customer Dispute | Settled | $12,000.00 | $0.00 | See FINRA Report |
| Dennis Riley Hendrix | 844734 | 2 | 05/01/2001 | Customer Dispute | Settled | $181,827.00 | $0.00 | See FINRA Report |
| Stephen Ansell Sweet | 2246806 | 1 | 04/27/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Tim I Cherry | 2610673 | 2 | 04/27/2001 | Customer Dispute | Settled | $13,368.10 | $0.00 | See FINRA Report |
| Alene Marie Crow | 5229488 | 3 | 04/26/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Alene Marie Crow | 5229488 | 3 | 04/26/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Vincent Thomas Ferrara | 1791902 | 3 | 04/23/2001 | Customer Dispute | Settled | $31,209.50 | $0.00 | See FINRA Report |
| Edward Joseph Katarsky | 858291 | 3 | 04/23/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| William Thomas Higgins | 2283649 | 5 | 04/23/2001 | Customer Dispute | Settled | $94,000.00 | $0.00 | See FINRA Report |