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 |
|---|---|---|---|---|---|---|---|---|
| Douglas Brian Marx | 1224673 | 6 | 11/24/1997 | Customer Dispute | Settled | $120,000.00 | $0.00 | See FINRA Report |
| Shane Phillips | 5989339 | 1 | 11/20/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Carl Henry Davis | 830219 | 2 | 11/18/1997 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Stephen Maxwell Sherline | 2212153 | 6 | 11/05/1997 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael Joseph Quinn | 1134161 | 1 | 11/04/1997 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Donald Craig Price Hunter | 6187013 | 2 | 11/01/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Mark Donald Dzamba | 2518102 | 1 | 10/31/1997 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Kwan-Rok Kong | 5288982 | 4 | 10/09/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Douglas Brian Marx | 1224673 | 6 | 10/08/1997 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Eric Matthew Ross | 4617884 | 2 | 10/03/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |