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 Kevin Kaiser | 1180337 | 2 | 09/19/1996 | Customer Dispute | Settled | $10,206.20 | $0.00 | See FINRA Report |
| Paul Thomas Stansberry | 717878 | 23 | 09/18/1996 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Douglas B Gehrke | 2290381 | 1 | 09/14/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Marlond Lennell Day | 6806097 | 3 | 09/13/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ferencz Horvath | 4169871 | 1 | 08/18/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Michael Murphy | 2243682 | 1 | 08/15/1996 | Customer Dispute | Award / Judgment | $644,398.00 | $1.00 | See FINRA Report |
| Henry Elon Slyker | 2394121 | 3 | 06/28/1996 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Kelly Allen Woerdeman | 4834916 | 2 | 06/02/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert Martin Denning | 873945 | 9 | 05/23/1996 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Thomas Connor Moss | 844872 | 6 | 05/17/1996 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |