Articles Tagged with Ameriprise Financial Services

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Anthony Salerno

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 12, 2017 indicate that Massachusetts-based Ameriprise Financial Services and RBC Capital Markets broker/adviser Anthony Salerno is involved in pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Salerno (CRD# 1761733).

Anthony Salerno has spent 28 years in the securities industry and has been registered with Ameriprise Financial Services in Boston, Massachusetts since 2017 and with RBC Capital Markets in South Easton, Massachusetts since 2005. Previous registrations include AdVest in Hartford, Connecticut (2002-2005); AG Edwards & Sons in St. Louis, Missouri (1997-2002); Cowen & Company in New York, New York (1995-1997); Smith Barney in New York, New York (1991-1995); and Dean Witter Reynolds in Purchase, New York (1988-1991). He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on December 6, 2005; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on January 26, 1989; and Series 7 (General Securities Representative Examination), which he obtained on December 17, 1988. He is a registered broker and investment adviser with 23 US states and territories: Arizona, California, Connecticut, the District of Columbia, Florida, Georgia, Illinois, Maine, Massachusetts, Michigan, Missouri, New Hampshire, New Jersey, New Mexico, New York, Pennsylvania, Rhode Island, South Carolina, Utah, Vermont, Virginia and Washington. He is registered with ten self-regulatory organizations (SROs): BOX Options Exchange LLC, the Chicago Board Options Exchange, FINRA, NYSE American LLC, NUSE Arca, Nasdaq BX, Nasdaq ISE, Nasdaq PHLX, the Nasdaq Stock Market, and the New York Stock Exchange.

According to his BrokerCheck report, he has received two pending customer complaints.

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John Loveland

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 6, 2017 indicate that Michigan-based Ameriprise Financial Services broker/adviser John Loveland has received several pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Loveland (CRD# 4770269).

John Loveland has spent 13 years in the securities industry and has been registered with Ameriprise Financial Services in Livonia and Grand Rapids, Michigan since 2004. He was previously registered with IDS Life Insurance Company in Minneapolis, Minnesota (2004-2006). He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on July 23, 2010, and Series 7, which he obtained on May 25, 2004 (General Securities Representative Examination). He is a registered broker and investment adviser with 15 US states and territories: California, the District of Columbia, Florida, Illinois, Maine, Massachusetts, Michigan, Missouri, Nevada, New Hampshire, New Jersey, New York, Ohio, South Carolina and Virginia.

According to his BrokerCheck report, he has received two pending customer complaints.

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Richard Dunagan

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 30, 2017 indicate that Texas-based Ameriprise Financial Services broker/adviser Richard Dunagan is involved in a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Dunagan (CRD# 2255644).

Richard Dunagan has spent 25 years in the securities industry and has been registered with Ameriprise Financial Services in Austin, Texas since September 2016. Previous registrations include Wells Fargo Advisors in Austin, Texas (2003-2016); Prudential Securities Incorporated in New York, New York (2001-2003); Salomon Smith Barney in New York, New York (1993-2001); and Lehman Brothers in New York, New York (1992-1993). He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on August 10, 1992; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on July 28, 1992; and Series 7 (General Securities Representative Examination), which he obtained on July 16, 1992. He is a registered broker and investment adviser with 13 US states and territories: California, Georgia, Hawaii, Iowa, Nebraska, New York, Oklahoma, Oregon, South Carolina, Texas, Utah, Virginia and Washington.

According to his BrokerCheck report, he has received one pending customer complaint and one customer complaint that was withdrawn.

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Alika GarciaPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 30, 2017 indicate that Hawaii-based Ameriprise Financial Services broker/adviser Alika Garcia has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Garcia (CRD# 2298506).

Alika Garcia has spent 22 years in the securities industry and has been registered with Ameriprise Financial Services in Honolulu, Hilo, and Kailua Kona, Hawaii since 1994. He was previously registered with IDS Life Insurance Company in Minneapolis, Minnesota (1994-2006). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on January 14, 1995, and Series 7 (General Securities Representative Examination), which he obtained on December 3, 1994. He is a registered broker and investment adviser with six US states: California, Hawaii, Idaho, Montana, Nevada and Washington.

According to his BrokerCheck report, he has received one pending customer complaint and two customer complaints that were closed or denied.

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Richard BartchPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 22, 2017 indicate that Washington-based Ameriprise Financial Services broker/adviser Richard Bartch has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Bartch (CRD# 2208138).

Richard Bartch has spent 25 years in the securities industry and has been registered with Ameriprise Financial Services in Spokane, Washington since 1992. He was previously registered with IDS Life Insurance Company in Minneapolis, Minnesota (1992-2006). He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on April 1, 1992; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on February 26, 1992; and Series 7 (General Securities Representative Examination), which he obtained on May 11, 1992. He is a registered broker and investment adviser with five US states: California, Idaho, Kentucky, Nevada, and Washington.

According to his BrokerCheck report, he has received one pending customer complaint, one withdrawn customer complaint, one denied customer complaint, and five unsatisfied tax liens.

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Brian JacksonPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on November 15, 2017 indicate that California-based Ameriprise Financial Services broker/adviser Brian Jackson is involved in a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Jackson (CRD# 374589).

Brian Jackson has spent 18 years in the securities industry and has been registered with Ameriprise Financial Services in Riverside, California since 1999. He was previously registered with IDS Life Insurance Company in Minneapolis, Minnesota (1999-2006). He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on May 12, 1999; Series 7 (General Securities Representative Examination), which he obtained on April 8, 1999; and Series 24 (General Securities Principal Examination), which he obtained on May 22, 2003. He is a registered broker and investment adviser with 16 US states and territories: Arizona, California, Colorado, Florida, Iowa, Maryland, Nevada, New Mexico, North Carolina, Oklahoma, Oregon, South Carolina, Texas, Virginia, Washington and West Virginia.

According to his BrokerCheck report, he has received one pending customer complaint.

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Howard NiemoellerPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 18, 2017 indicate that California-based Ameriprise Financial Services broker/adviser Howard Niemoeller has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Niemoeller (CRD# 4744450).

Howard Niemoeller has spent 13 years in the securities industry and has been registered with Ameriprise Financial Services in Irvine, California since 2004. He was previously registered with IDS Life Insurance Company in Minneapolis, Minnesota (2004-2006). He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination) and Series 7 (General Securities Representative Examination). He is a registered broker and investment adviser with eight US states and territories: Alabama, Arizona, California, Colorado, Kansas, Oregon, Texas and Washington.

According to his FINRA BrokerCheck report, he has received one pending customer complaint in connection to his employment at Ameriprise Financial Services.

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Dominic SaccaPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 13, 2017 indicate that former Michigan-based Ameriprise Financial Services broker/adviser Dominic Sacca has received resolved or pending customer disputes and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Sacca (CRD# 2241670).

Dominic Sacca has spent 25 years in the securities industry and was most recently registered with Ameriprise Financial Services in Northville, Michigan (1992-2017). He was previously registered with IDS Life Insurance Company in Minneapolis, Minnesota (1992-2006). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination) and Series 7 (General Securities Representative Examination). He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received three customer complaints and one pending customer complaint.

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Roy McGuffin

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 13, 2017 indicate that former Ohio-based Ameriprise Financial Services broker/adviser Roy McGuffin recently resigned from his former employer in connection to alleged rule violations and has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. McGuffin (CRD# 1803305).

Roy McGuffin has spent 29 years in the securities industry and was most recently registered with Ameriprise Financial Services in Cincinnati, Ohio (2009-2017). Previous registrations include Ameriprise Advisor Services in Blue Ash, Ohio (1990-2009); Lux Investor Services Corporation (1989-1990); Power Securities Corporation (1989); and the Stuart-James Company (1988). He has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); Series 7 (General Securities Representative Examination): Series 8 (General Securities Sales Supervisor Examination [Options Module & General Module]): Series 4 (Registered Options Principal Examination); and Series 24 (General Securities Principal Examination). He is currently not registered with any state or firm.

According to his BrokerCheck report, Roy McGuffin has received one pending customer complaint and recently resigned from his former employer.

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Jeffrey KrupnickPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on September 19, 2017 indicate that former Florida-based Ameriprise Financial Services broker/adviser Jeffrey Krupnick has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Krupnick (CRD# 4307569).

Jeffrey Krupnick has spent 16 years in the securities industry and has been registered with Ameriprise Financial Services in Sarasota, Florida since August 2015. Previous registrations include JHS Capital Advisors in Sarasota, Florida; Wells Fargo Advisors in Sarasota, Florida; Citigroup Global Markets in Venice, Florida; and Merrill Lynch in New York, New York. He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination) and Series 7 (Uniform Combined State Law Examination). He is a registered broker and investment adviser with ten US states: Connecticut, Florida, Indiana, Maryland, Michigan, New Jersey, New York, North Carolina, Ohio, and Washington.

According to his BrokerCheck report, he has received one customer complaint and one pending regulatory complaint, and resigned from a former employer in connection to alleged rule violations.