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 |
|---|---|---|---|---|---|---|---|---|
| Mark John Zipfel | 1179677 | 14 | 10/09/1991 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James Patrick Kirwan | 816890 | 4 | 10/01/1991 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Steven Michael Landy | 2262716 | 3 | 09/21/1991 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Meade Thrower | 1356034 | 3 | 09/03/1991 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| Donald Charles Heaney | 1472828 | 2 | 08/26/1991 | Customer Dispute | Award / Judgment | $4,500.00 | $1,752.00 | See FINRA Report |
| Alexander Umansky | 3005872 | 3 | 08/15/1991 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William Walter Gammon | 1811853 | 27 | 08/07/1991 | Customer Dispute | Settled | $143,000.00 | $0.00 | See FINRA Report |
| William Walter Gammon | 1811853 | 27 | 07/15/1991 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Mark John Zipfel | 1179677 | 14 | 07/01/1991 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Mark John Zipfel | 1179677 | 14 | 07/01/1991 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |