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Ameriprise Financial Services Fraud and/or Investment Loss Customer Complaint Disclosures

Ameriprise Financial Services: CRD#: 6363/SEC#: 801-28543,8-16791

The firm is headquartered in Minneapolis, Minnesota.

It was founded by John Tappan in 1984. It is the child company of Ameriprise Financial, Inc. Ameriprise Financial Services holds 53 licenses for U.S. States and Territories and have had 117 disclosures as of 2020.

Four Complaints Filed Against Ameriprise Financial Services Investment Advisor Kevin Houser Alleging Unsuitable Recommendations

By wolper | February 28, 2021

Kevin Houser (CRD#: 2513167) was an Investment Advisor at Ameriprise Financial Services, LLC in Center Valley, PA. He entered the securities industry in 1994 and previously worked for LPL Financial, LLC; Wachovia Securities, LLC; Citigroup Global Markets, Inc.; and Merrill Lynch, Pierce, Fenner & Smith, Inc. According to publicly available  [....] Read More →

Former Ameriprise Financial Services, Inc. Broker, Sean Refsnider, Barred By FINRA For Allegedly Converting Assets From An Elderly Client

By wolper | October 23, 2020

Sean Refsnider (CRD # 4762963) was a Financial Advisor at Ameriprise Financial Services, Inc. in Haddon Hgts, NJ. Sean Refsnider has been in the securities industry since 2004 and was also registered at Ameriprise Financial Services, Inc in Voorhees, NJ and IDS Life Insurance Company in Minneapolis, MN. According to  [....] Read More →

Former Ameriprise Financial Services, LLC Advisor, Arthur Hoffman, Barred By FINRA For Allegedly Failing To Provide Documents In Relation To Investigation Into Outside Business Activities

By wolper | September 11, 2020

Arthur Hoffman (CRD # 3193754) was a Financial Advisor at Ameriprise Financial Services, LLC in Glenndale, AZ. Arthur Hoffman has been in the securities industry since 1999 and previously worked at Wedbush Securities, Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Morgan Stanley DW Inc. According to publicly available  [....] Read More →

Former Ameriprise Financial Services Broker, Bryant Caveness, Barred By FINRA

By wolper | July 29, 2020

Bryant Caveness (CRD # 4033740) was a Financial Advisor at Ameriprise Financial Services in Kingsport, TN. Bryant Caveness has been in the securities industry since 1999 and previously worked at Ameriprise Advisor Services and Morgan Stanley. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on  [....] Read More →

Ameriprise Financial Advisor, Jeffrey McHale, Has Three Customer Complaints, Alleging Sales Practice Misconduct

By wolper | April 19, 2020

Jeffrey McHale (CRD # 2998580) is a Financial Advisor at Ameriprise Financial Services in Hingham, Massachusetts. Jeffrey McHale has been in the securities industry since 1998 and previously worked at Coburn & Meredith and Merrill Lynch. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Jeffrey  [....] Read More →

Ameriprise Financial Services Broker, Joseph Peggs, Has Eight Disclosed Customer Complaints Alleging Various Sales Practice Violations

By wolperdev | January 16, 2020

Joseph Peggs (CRD # 121971) is a Financial Advisor at Ameriprise Financial Services, Inc. in Seminole, FL.  Joseph Peggs has been in the securities industry since 1984 and previously worked at Planmember Securities Corporation, AXA Advisors, LLC, Woodbury Financial Services, Inc. Jefferson Pilot Securities Corporation, NFP Securities, Inc. and FFP  [....] Read More →

Ameriprise Financial Advisor, Stan Leavitt, Had Two Customer Complaints In 2018

By wolperdev | May 5, 2019

Stan Leavitt is a Financial Advisor at Ameriprise Financial in Roseville, CA.  Stan Leavitt entered the securities industry in 1994 and previously worked for Merrill Lynch.  According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in October 2018, a customer filed a complaint against Stan Leavitt,  [....] Read More →

Ameriprise Financial Advisor, Keith Kordich, Has Six Customer Complaints

By wolperdev | March 15, 2019

Keith M. Kordich is a Financial Advisor at Ameriprise Fianncial Services, Inc. in Boca Raton, FL.  Keith Kordich has been in the securities industry since 1998 and previously worked at Ladenburg, Thalmann & Co. and Gruntal & Co., LLC in New York, and Ryan Beck and Co., Stifel, Nicolaus &  [....] Read More →

Ameriprise Financial Advisor, Bruce Smith, Has Pending Complaint Regarding The Sale Of Non-Traded Real Estate Investment Trusts

By wolperdev | February 9, 2019

The Wolper Law Firm is currently investigating claims against Bruce Smith, a Financial Advisor at Ameriprise Financial Services in Bartlesville, Oklahoma.  Bruce Smith has been in the securities industry since 1992 and previously worked for IDS Life Insurance Co. According to publicly available records released by the Financial Industry Regulatory  [....] Read More →

Financial Advisor, Stan Leavitt, Has Two Customer Complaints Since 2017, Including One Pending Complaint

By wolperdev | November 25, 2018

The Wolper Law Firm is currently investigating claims against Stan Leavitt, a former Financial Adviser at Merrill Lynch and current Financial Advisor at Ameriprise Financial in Roseville, California.  Stan Leavitt has been in the securities industry since the 1990s and previously worked for Cadaret Grant & Co. According to publicly  [....] Read More →

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