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 |
|---|---|---|---|---|---|---|---|---|
| Steven Levin | 1197388 | 7 | 09/17/1992 | Customer Dispute | Settled | $60,000.00 | $0.00 | See FINRA Report |
| Rey Garza | 5553421 | 1 | 09/14/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Valerie Chase | 1741238 | 3 | 09/14/1992 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Brad Aaron Swartzwelder | 2811267 | 1 | 09/12/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Lewis Edward Wollenweber | 1182340 | 3 | 08/31/1992 | Customer Dispute | Settled | $42,000.00 | $0.00 | See FINRA Report |
| Claude Christopher Mc Manus | 2526077 | 5 | 08/27/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Daniel Wayne Nelson | 5984146 | 1 | 08/17/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Mark Howard Richmond | 1101238 | 4 | 08/06/1992 | Customer Dispute | Award / Judgment | $28,537.00 | $2,500.00 | See FINRA Report |
| Charles Michael Harvey | 1412569 | 3 | 07/20/1992 | Customer Dispute | Settled | $27,000.00 | $0.00 | See FINRA Report |
| Kevin Martin Golden | 4117756 | 1 | 07/14/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |