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 |
|---|---|---|---|---|---|---|---|---|
| William David Johnson | 2103904 | 2 | 05/27/1999 | Customer Dispute | Settled | $350.00 | $0.00 | See FINRA Report |
| Charles Allen Evans | 733216 | 5 | 05/27/1999 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Erik Erle Simmons | 2479132 | 7 | 05/21/1999 | Customer Dispute | Denied | $33,575.00 | $0.00 | See FINRA Report |
| Ira Jeffrey Musiker | 2165319 | 3 | 05/20/1999 | Customer Dispute | Closed-No Action | $30,000.00 | $0.00 | See FINRA Report |
| Philip Touati Delord | 2453511 | 1 | 05/19/1999 | Customer Dispute | Denied | $33,000.00 | $0.00 | See FINRA Report |
| Michel Ross Girardi | 1101575 | 7 | 05/14/1999 | Customer Dispute | Denied | $8,800.00 | $0.00 | See FINRA Report |
| Stephen Archer Williams | 1572668 | 4 | 05/14/1999 | Customer Dispute | Settled | $12,000.00 | $0.00 | See FINRA Report |
| Zakkour H Chivi | 1987360 | 6 | 05/10/1999 | Customer Dispute | Settled | $326,000.00 | $0.00 | See FINRA Report |
| Journel Maurice Gibbs | 5148466 | 1 | 05/06/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Rizzo | 2211860 | 1 | 05/04/1999 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |