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 |
|---|---|---|---|---|---|---|---|---|
| Stephen Fulton Bouton | 1133969 | 3 | 09/01/1980 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Gerard Joseph Mc Quaid | 2514776 | 2 | 04/19/1980 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Andrew Warren Smith | 4276693 | 1 | 03/15/1980 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kevin Eugene Wagner | 866514 | 1 | 01/01/1980 | Customer Dispute | Award / Judgment | $0.00 | $200,000.00 | See FINRA Report |
| Shelly J Donovan | 1001389 | 10 | 12/04/1979 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Gerard Joseph Mc Quaid | 2514776 | 2 | 10/19/1979 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Thomas John Vanyo | 453487 | 4 | 09/25/1979 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Charles Michael Harvey | 1412569 | 3 | 05/10/1979 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Mark Alan Sanman | 3270037 | 2 | 04/27/1979 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Paul David Leesman | 2902103 | 1 | 04/26/1979 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |