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 |
|---|---|---|---|---|---|---|---|---|
| Norman Robert Lemus | 5524913 | 1 | 09/26/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Inderpal Singh Anand | 2875643 | 1 | 09/26/2022 | Customer Dispute | Denied | $14,003.80 | $0.00 | See FINRA Report |
| Robert Nelson Deardorff | 4689440 | 5 | 09/20/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Clifton Brent Smith | 2658251 | 2 | 09/19/2022 | Customer Dispute | Denied | $27,287.10 | $0.00 | See FINRA Report |
| Mandy Min Woo | 4179009 | 1 | 09/17/2022 | Customer Dispute | Denied | $230,000.00 | $0.00 | See FINRA Report |
| Douglas Bradford Gage | 2409551 | 1 | 09/16/2022 | Customer Dispute | Denied | $30,000.00 | $0.00 | See FINRA Report |
| Chikezie Reginald Esiobu | 2674859 | 1 | 09/16/2022 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Gholamreza Shirazi | 2515508 | 11 | 09/15/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mary Vinodhini Smith | 2730623 | 1 | 09/09/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Ted Arthur Boutis | 2951760 | 4 | 09/06/2022 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |