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 |
|---|---|---|---|---|---|---|---|---|
| James Sidney Herzikoff | 244425 | 5 | 09/18/1995 | Customer Dispute | Settled | $267,716.00 | $0.00 | See FINRA Report |
| Russell Bradley Wilson | 4916633 | 1 | 09/12/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Randy Lee Stewart | 2398047 | 5 | 09/06/1995 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Nathan Gene Birney | 4126741 | 4 | 08/29/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Heath Patrick Larkin | 5379931 | 2 | 08/11/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Mark Stuart Kruse | 2124864 | 2 | 08/10/1995 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Thomas Connor Moss | 844872 | 6 | 08/01/1995 | Customer Dispute | Settled | $63,307.00 | $0.00 | See FINRA Report |
| Michael Sandberg | 1949867 | 11 | 07/14/1995 | Customer Dispute | Settled | $135,146.00 | $0.00 | See FINRA Report |
| Amber Dee Meyer | 4953560 | 3 | 07/06/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Neil Soiferman | 1990243 | 6 | 06/19/1995 | Customer Dispute | Settled | $9,585.24 | $0.00 | See FINRA Report |