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 William Kinder | 2026585 | 1 | 03/08/1999 | Customer Dispute | Denied | $7,710.00 | $0.00 | See FINRA Report |
| Kenneth Ewing Shine | 1347934 | 2 | 03/01/1999 | Customer Dispute | Withdrawn | $5,102.69 | $0.00 | See FINRA Report |
| John Novak | 2013913 | 3 | 03/01/1999 | Customer Dispute | Settled | $20,047.00 | $0.00 | See FINRA Report |
| Ira Jeffrey Musiker | 2165319 | 3 | 02/26/1999 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Robert Joseph Dimaria | 2721781 | 3 | 02/24/1999 | Customer Dispute | Settled | $37,841.00 | $0.00 | See FINRA Report |
| Daniel Andrew Shontere | 2360767 | 3 | 02/19/1999 | Customer Dispute | Withdrawn | $100,000.00 | $0.00 | See FINRA Report |
| Craig Howard Frank | 1735281 | 3 | 02/17/1999 | Customer Dispute | Denied | $27,048.00 | $0.00 | See FINRA Report |
| Richard Eric Cole | 2894210 | 1 | 02/17/1999 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Joseph Dimaria | 2721781 | 3 | 02/16/1999 | Customer Dispute | Denied | $13,000.00 | $0.00 | See FINRA Report |
| John Meade Thrower | 1356034 | 3 | 02/12/1999 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |