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 |
|---|---|---|---|---|---|---|---|---|
| William Charles Martin | 730943 | 4 | 03/12/1993 | Customer Dispute | Award / Judgment | $9,999.99 | $5,000.00 | See FINRA Report |
| Larry Don Graham | 1433652 | 3 | 03/12/1993 | Customer Dispute | Award / Judgment | $4,700.00 | $4,698.00 | See FINRA Report |
| William Albert Roberts | 401188 | 3 | 02/12/1993 | Customer Dispute | Award / Judgment | $89,012.10 | $13,000.00 | See FINRA Report |
| Brandon Marc Flynn | 4336113 | 2 | 02/06/1993 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert Keith Incaprera | 1064833 | 6 | 02/05/1993 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Walter Lewis Satterwhite | 826559 | 2 | 01/21/1993 | Customer Dispute | Settled | $60,000.00 | $0.00 | See FINRA Report |
| Mark John Zipfel | 1179677 | 14 | 01/07/1993 | Customer Dispute | Settled | $60,000.00 | $0.00 | See FINRA Report |
| Van Lingle Hobbs | 1252272 | 1 | 01/05/1993 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jonathan Ben Mirer | 336638 | 9 | 12/01/1992 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Shelly J Donovan | 1001389 | 10 | 11/30/1992 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |