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 |
|---|---|---|---|---|---|---|---|---|
| David Robert Sarotte | 4955498 | 1 | 11/04/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Frank Miller Staves | 2296731 | 3 | 10/17/1994 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Phillip James Peachock | 4408137 | 2 | 10/17/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Sidney Herzikoff | 244425 | 5 | 10/14/1994 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Thomas Edward Rudakas | 1028768 | 4 | 09/19/1994 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Brian T Keith | 1692285 | 2 | 08/25/1994 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Robert Martin Denning | 873945 | 9 | 08/01/1994 | Customer Dispute | Settled | $127,000.00 | $0.00 | See FINRA Report |
| David Patrick Luetkemeyer | 1854563 | 5 | 07/25/1994 | Customer Dispute | Settled | $12,000.00 | $0.00 | See FINRA Report |
| Heather Jo Link | 3119825 | 1 | 07/22/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Joseph Michael Sullivan | 723427 | 7 | 07/21/1994 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |