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 |
|---|---|---|---|---|---|---|---|---|
| Thomas John Sundberg | 2050096 | 2 | 01/26/1998 | Customer Dispute | Settled | $12,000.00 | $0.00 | See FINRA Report |
| David Ernest Feuerhelm | 2338017 | 2 | 01/23/1998 | Customer Dispute | Denied | $13,000.00 | $0.00 | See FINRA Report |
| Michael Patrick Coffield | 1216018 | 7 | 01/19/1998 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Lucianna Marguerite Molinari | 1055475 | 2 | 01/15/1998 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Christopher John Jacobi | 1648679 | 5 | 01/12/1998 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Robert James Pecoraro | 817524 | 1 | 01/08/1998 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Robert Martin Denning | 873945 | 9 | 12/18/1997 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew Brodsky | 4560939 | 1 | 12/13/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Douglas Brian Marx | 1224673 | 6 | 12/08/1997 | Customer Dispute | Settled | $47,000.00 | $0.00 | See FINRA Report |
| Douglas Brian Marx | 1224673 | 6 | 12/01/1997 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |