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 |
|---|---|---|---|---|---|---|---|---|
| Roger James van Loo | 4858060 | 3 | 03/22/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Carl William Heick | 1218327 | 97 | 03/14/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Lucianna Marguerite Molinari | 1055475 | 2 | 03/13/2001 | Customer Dispute | Withdrawn | $8,000.00 | $0.00 | See FINRA Report |
| Stephen Maxwell Sherline | 2212153 | 6 | 03/06/2001 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Michael Richard Costa | 4560771 | 2 | 03/03/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Alan Geller | 1772915 | 3 | 03/02/2001 | Customer Dispute | Settled | $1,050,000.00 | $0.00 | See FINRA Report |
| Robert Vaughn Lester | 714813 | 2 | 03/01/2001 | Customer Dispute | Settled | $287,920.00 | $0.00 | See FINRA Report |
| Ken Tatsuo Kondo | 2125181 | 1 | 02/28/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Christopher Joseph Mallory | 2907143 | 5 | 02/27/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Larry Thomas Uram | 1416898 | 1 | 02/27/2001 | Customer Dispute | Closed-No Action | $45,580.50 | $0.00 | See FINRA Report |