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 |
|---|---|---|---|---|---|---|---|---|
| Theodore Grier Trafton | 5227008 | 1 | 10/31/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Donald Gerard Ritley | 700869 | 2 | 10/27/1999 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Mike Persia | 712234 | 1 | 10/25/1999 | Customer Dispute | Denied | $21,042.70 | $0.00 | See FINRA Report |
| Anthony Fiore Sposato | 2397173 | 2 | 10/25/1999 | Customer Dispute | Settled | $5,521.55 | $0.00 | See FINRA Report |
| Bonnie Renee Schultz | 869126 | 2 | 10/18/1999 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Eugenio Carrillo | 1898708 | 1 | 10/13/1999 | Customer Dispute | Denied | $12,000.00 | $0.00 | See FINRA Report |
| Andrew Allen Hanna | 4684640 | 1 | 10/08/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Craig Dombroski | 816091 | 3 | 10/08/1999 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Anthony Perez | 4789836 | 1 | 10/07/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Miguel Alexander Riveros | 4992271 | 2 | 10/05/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |