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 |
|---|---|---|---|---|---|---|---|---|
| Richard D Dunagan | 2255644 | 2 | 03/12/1979 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Stephen Michael Westlake | 1435643 | 8 | 12/05/1978 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Mark John Stegmann | 3022845 | 1 | 09/25/1978 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Grant Walter Ostapeck | 1198182 | 3 | 09/01/1978 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Frederick Louis Bester | 2250792 | 1 | 08/01/1978 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Stephen Fulton Bouton | 1133969 | 3 | 07/20/1978 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Grant Walter Ostapeck | 1198182 | 3 | 09/01/1977 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Joseph Michael La Bree | 2398577 | 2 | 03/09/1977 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Martin Lefty | 1034936 | 2 | 01/23/1977 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jon Jeffrey Rees | 1568649 | 5 | 04/22/1976 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |