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 |
|---|---|---|---|---|---|---|---|---|
| Peter Ross Smith | 1016236 | 2 | 03/16/1992 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Joseph Michael Sullivan | 723427 | 7 | 03/02/1992 | Customer Dispute | Award / Judgment | $76,484.00 | $61,375.00 | See FINRA Report |
| John Devers Hursh | 1083427 | 2 | 03/02/1992 | Customer Dispute | Settled | $21,961.00 | $0.00 | See FINRA Report |
| Mark John Zipfel | 1179677 | 14 | 02/28/1992 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Robert Frank Bokern | 1267842 | 1 | 02/28/1992 | Customer Dispute | Award / Judgment | $0.00 | $6,336.25 | See FINRA Report |
| Robert Bruce Mc Call | 863509 | 2 | 02/25/1992 | Customer Dispute | Settled | $95,000.00 | $0.00 | See FINRA Report |
| Robert Scott Davidson | 1511627 | 2 | 02/24/1992 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mark John Zipfel | 1179677 | 14 | 02/20/1992 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Thomas John Vanyo | 453487 | 4 | 02/18/1992 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Travis Allen Routt | 2768395 | 1 | 01/21/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |