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 |
|---|---|---|---|---|---|---|---|---|
| James William Bravos | 840892 | 1 | 03/01/1991 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| Mark Kent Powers | 714763 | 2 | 02/21/1991 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Christopher David Kauker | 4470494 | 1 | 01/09/1991 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Phillip Richard Williams | 2837041 | 3 | 12/06/1990 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Steven Levin | 1197388 | 7 | 12/01/1990 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| Steven Levin | 1197388 | 7 | 11/09/1990 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |
| John Meade Thrower | 1356034 | 3 | 10/19/1990 | Customer Dispute | Award / Judgment | $37,500.00 | $57,102.00 | See FINRA Report |
| Norman Arnold Robbins | 731352 | 7 | 09/14/1990 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Thomas John Vanyo | 453487 | 4 | 08/03/1990 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William Vincent Swisher | 1097970 | 1 | 08/02/1990 | Customer Dispute | Settled | $59,000.00 | $0.00 | See FINRA Report |