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 |
|---|---|---|---|---|---|---|---|---|
| Gerald Terry Summerlin | 2382714 | 5 | 01/21/1983 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Todd Kirk Volkart | 2594317 | 3 | 01/10/1983 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Bonnie Renee Schultz | 869126 | 2 | 01/01/1983 | Customer Dispute | Award / Judgment | $42,000.00 | $46,300.00 | See FINRA Report |
| Bryan Allan Yeager | 1591216 | 1 | 08/16/1982 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Joseph Steven Lovoy | 2377893 | 2 | 08/07/1982 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Richard Jesus Fernandez | 7700670 | 3 | 07/13/1982 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert Alan Koch | 5482869 | 4 | 05/23/1982 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John David Anderson | 1045831 | 3 | 04/17/1982 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James William McLellan | 706853 | 3 | 02/19/1982 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher Win Nelson | 1221694 | 1 | 01/02/1982 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |