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 |
|---|---|---|---|---|---|---|---|---|
| Joseph Salvatore de Sena | 2477861 | 4 | 10/02/1998 | Customer Dispute | Closed-No Action | $15,362.80 | $0.00 | See FINRA Report |
| Steven Thomas King | 2403479 | 2 | 10/02/1998 | Customer Dispute | Closed-No Action | $45,000.00 | $0.00 | See FINRA Report |
| Michael Mark Eisenmenger | 2507366 | 4 | 10/01/1998 | Customer Dispute | Closed-No Action | $17,555.00 | $0.00 | See FINRA Report |
| Heidi Eva Smith | 4774551 | 1 | 09/24/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Albert Chastain | 1370344 | 2 | 09/24/1998 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| John Albert Chastain | 1370344 | 2 | 09/24/1998 | Customer Dispute | Settled | $15,000.00 | $0.00 | See FINRA Report |
| Victor Peretiatko | 1354199 | 3 | 09/23/1998 | Customer Dispute | Settled | $75,223.00 | $0.00 | See FINRA Report |
| Joseph Candela | 2674155 | 4 | 09/15/1998 | Customer Dispute | Closed-No Action | $14,000.00 | $0.00 | See FINRA Report |
| James Martin Meis | 1061849 | 4 | 09/09/1998 | Customer Dispute | Settled | $16,000.00 | $0.00 | See FINRA Report |
| Scott Earl Polk | 2710631 | 1 | 09/09/1998 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |