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 |
|---|---|---|---|---|---|---|---|---|
| Alan Cormack Holt | 1497129 | 4 | 04/10/1997 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Cheryl Carretta Whitney | 1028034 | 2 | 04/07/1997 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Gabriel Plaut | 874173 | 3 | 03/31/1997 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| Mark John Zipfel | 1179677 | 14 | 03/21/1997 | Customer Dispute | Settled | $60,000.00 | $0.00 | See FINRA Report |
| Paul Andrew Nassar | 1753671 | 2 | 02/06/1997 | Customer Dispute | Settled | $49,404.00 | $0.00 | See FINRA Report |
| Carl Frank Nicolosi | 1378292 | 2 | 01/30/1997 | Customer Dispute | Settled | $15,000.00 | $0.00 | See FINRA Report |
| Gabriel Yanez | 2116095 | 2 | 01/18/1997 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Audrey K Croft | 4178028 | 13 | 01/09/1997 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Howard Lewis Bryant | 5499166 | 1 | 01/03/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Paul Joseph Notermann | 1549413 | 4 | 12/27/1996 | Customer Dispute | Settled | $26,504.00 | $0.00 | See FINRA Report |