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 |
|---|---|---|---|---|---|---|---|---|
| Michael Sandberg | 1949867 | 11 | 12/19/1995 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Gwen Carol Smith | 707205 | 1 | 12/04/1995 | Customer Dispute | Award / Judgment | $0.00 | $82,250.00 | See FINRA Report |
| Paul Ellsworth Seals | 2206793 | 1 | 11/16/1995 | Customer Dispute | Settled | $72,000.00 | $0.00 | See FINRA Report |
| Brian T Keith | 1692285 | 2 | 11/16/1995 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Bradford Klein | 2116655 | 2 | 11/02/1995 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Brian Edward Guglielmi | 4264515 | 1 | 10/19/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Joseph Michael Sullivan | 723427 | 7 | 10/12/1995 | Customer Dispute | Settled | $140,000.00 | $0.00 | See FINRA Report |
| Frank McNair Sims | 1252022 | 7 | 10/05/1995 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| William Charles Martin | 730943 | 4 | 10/02/1995 | Customer Dispute | Settled | $133,450.00 | $0.00 | See FINRA Report |
| Audrey K Croft | 4178028 | 13 | 09/19/1995 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |