Articles Tagged with Ameriprise Financial Services

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Brian HusseyPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 13, 2018 indicate that former Florida-based Ameriprise Financial Services broker/adviser Brian Hussey has been sanctioned by FINRA in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Hussey (CRD# 4640067).

Brian Hussey has spent ten years in the securities industry and was most recently registered with Ameriprise Financial Services in Tampa, Florida (2008-2018). He has no previous registrations. He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on May 15, 2008, and Series 7 (General Securities Representative Examination), which he obtained on February 15, 2008. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received one customer complaint and one FINRA sanction.

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James KujawskiPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 5, 2018 indicate that former Maryland-based Ameriprise Financial Services broker/adviser James Kujawski, who has received resolved or pending customer disputes, was recently named in a FINRA investigation into alleged rule violations. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Kujawski (CRD# 2075543).

James Kujawski has spent 27 years in the securities industry and has been registered with Ameriprise Financial Services in Annapolis, Maryland since March 2018. Previous registrations include UBS Financial Services in Annapolis, Maryland (2009-2018); Morgan Stanley & Company in Annapolis, Maryland (2007-2009); Morgan Stanley & DW in Annapolis, Maryland (1999-2007); Prudential Securities in New York, New York (1997-1999); Smith Barney in New York, New York (1993-1997); and Lehman Brothers in New York, New York (1990-1993). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on May 7, 1992; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on September 21, 1990; Series 31 (Futures Managed Funds Examination), which he obtained on February 29, 2000; and Series 7 (General Securities Representative Examination), which he obtained on August 31, 1990. He is a registered broker and investment adviser in Maryland and the District of Columbia.

According to his BrokerCheck report, he has received four customer complaints and one pending customer complaint, and he was recently named in a FINRA investigation into alleged rule violations.

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Tom ParksPublic records published by the Financial Industry Regulatory Authority (FINRA) on May 7, 2018 indicate that former Texas-based Ameriprise Financial Services broker/adviser Tom Parks has been involved in 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. Parks (CRD# 1558909).

Tom Parks has spent 29 years in the securities industry and was most recently registered with Ameriprise Financial Services in Stephenville, Texas (1993-2016). Previous registrations include IDS Life Insurance Company in Minneapolis, Minnesota (1999-2006); American Express Services Corporation in Minneapolis, Minnesota (1994); InterSecurities in St. Petersburg, Florida (1992-1993); Signal Securities in Fort Worth, Texas (1990-1992); and IFP in Dallas, Texas (1987-1990). he has passed four securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 3, 1987; Series 7 (General Securities Representative Examination), which he obtained on February 21, 1987; Series 3 (National Commodity Futures Examination), which he obtained on August 25, 1986; and Series 24 (General Securities Principal Examination), which he obtained on January 15, 2001. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received 19 customer complaints and two pending customer complaints.

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Mark SachsePublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on April 20, 2018 indicate that former Kansas-based Ameriprise Financial Services broker/adviser Mark Sachse, who has received a pending customer dispute, was discharged from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Sachse (CRD# 5155260).

Mark Sachse has spent eleven years in the securities industry and was most recently registered with Ameriprise Financial Services in Overland Park, Kansas (2010-2018). He was previously registered with Robert W. Baird & Company in Kansas City, Missouri (2006-2010). He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on August 25, 2008, and Series 7 (General Securities Representative Examination), which he obtained on July 28, 2006. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received one pending customer complaint and one unsatisfied tax lien, and he was discharged from his former employer in connection to alleged rule violations.

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James Pettit

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on April 16, 2018 indicate that former Connecticut-based Ameriprise Financial Services broker/adviser James Pettit has been sanctioned by FINRA in connection to alleged rule violations and barred from acting as a broker or otherwise associating with a broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Pettit (CRD# 733916).

James Pettit has spent 34 years in the securities industry and was most recently registered with Ameriprise Financial Services in Suffield, Connecticut (2015-2016). Previous registrations include Janney Montgomery Scott in Glastonbury, Connecticut (2007-2014); Merrill Lynch in West Hartford, Connecticut (2006-2007); Advest in Hartford, Connecticut (2001-2006); Salomon Smith Barney in New York, New York (1986-2001); and Painewebber (1981-1986). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on February 12, 1986, and Series 7 (General Securities Representative Examination), which he obtained on June 20, 1981. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received two regulatory sanctions and one pending regulatory complaint.

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Timothy HunterPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on April 11, 2018 indicate that Louisiana-based Ameriprise Financial Services broker/adviser Timothy Hunter has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Hunter (CRD# 2317611).

Timothy Hunter has spent 25 years in the securities industry and has been registered with Ameriprise Financial Services in Baton Rouge, Louisiana since 1993. He was previously registered with IDS Life Insurance Company in Minneapolis, Minnesota (1993-2006). he has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on June 18, 1996; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on July 29, 1994; Series 7 (General Securities Representative Examination), which he obtained on February 3, 1993; Series 53 (Municipal Securities Principal Examination), which he obtained on October 11, 2002; and Series 24 (General Securities Principal Examination), which he obtained on July 10, 1999. He is a registered broker and investment adviser with eleven US states and territories: Alabama, Colorado, Florida, Louisiana, Maine, Mississippi, Missouri, New Mexico, Pennsylvania, Tennessee, and Texas. He is registered with one self-regulatory organization (SRO): FINRA.

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

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Jeffrey StillwellPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 27, 2018 indicate that New Jersey and Pennsylvania-based Ameriprise Financial Services broker/adviser Jeffrey Stillwell has been involved in a customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Stillwell (CRD# 2630198).

Jeffrey Stillwell has spent 15 years in the securities industry and has been registered with Ameriprise Financial Services in Red Bank, New Jersey; Philadelphia, Pennsylvania; and Livingston, New Jersey since 2015. Previous registrations include Allstate Financial Services in Freehold, New Jersey (2008-2015); AXA Advisors in New York, New York (1995-2001); Aetna Investment Services in Windsor, Connecticut (2000-2001); and the Equitable Life Assurance Society of the United States in New York, New York (1995-2000). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on July 15, 2013; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 4, 2008; Series 7 (General Securities Representative Examination), which he obtained on May 8, 2013; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on May 21, 2008. He is a registered broker and investment adviser with 16 US states and territories: California, Connecticut, Delaware, Florida, Georgia, Illinois, Massachusetts, Montana, New Jersey, New York, North Carolina, Ohio, Pennsylvania, Puerto Rico, South Carolina, and Texas.

According to his BrokerCheck report, he has received one customer complaint and two denied customer complaints.

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Nicholas DisessoPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 26, 2018 indicate that former New Jersey-based Ameriprise Financial Services broker/adviser Nicholas Disesso has been involved in resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Disesso (CRD# 502153).

Nicholas Disesso has spent 38 years in the securities industry and was most recently registered with Amerprise Financial Services in Florham Park, New Jersey (2009-2016). Previous registrations include Ameriprise Financial Services in Short Hills, New Jersey (2009); Wells Fargo Advisors in Short Hills, New Jersey (2008-2009); AG Edwards & Sons in Short Hills, New Jersey (1991-2008); Dean Witter Reynolds in Purchase, New York (1988-1991); Smith Barney Harris Upham & Company (1986-1988); Moore & Schley Cameron & Company (1983-1986); Moore & Schley Municipals (1982-1986); and JB Hanauer & Company (1977-1982). He has passed four securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 28, 1989; Series 7 (General Securities Representative Examination), which he obtained on March 19, 1983; Series 1 (Registered Representative Examination), which he obtained on June 5, 1979; and Series 52 (Municipal Securities Representative Examination), which he obtained on March 10, 1979. 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, and was discharged from a former employer in connection to alleged rule violations.

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Anthony LeopizziPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 21, 2018 indicate that New York-based Ameriprise Financial Services broker/adviser Anthony Leopizzi has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Leopizzi (CRD# 1697946).

Anthony Leopizzi has spent 30 years in the securities industry and has been registered with Ameriprise Financial Services in White Plains, New York and Naples, Florida since 1990. Previous registrations include IDS Life Insurance Company in Minneapolis, Minnesota (1990-2006); Robert Todd Financial Group in New York, New York (1989); and Investors Center in Hauppage, New York (1987-1989). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 7, 1987; Series 7 (General Securities Representative Examination), which he obtained on July 18, 1987; and Series 24 (General Securities Principal Examination), which he obtained on June 2, 1998. He is a registered broker and investment adviser with 19 US states and territories: Arizona, California, Connecticut, Delaware, Florida, Georgia, Illinois, Louisiana, Massachusetts, Minnesota, Nevada, New Hampshire, New Jersey, New York, North Carolina, Pennsylvania, Rhode Island, Texas, and Virginia.

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

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Bradley RenbergPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 21, 2018 indicate that Iowa-based Ameriprise Financial Services broker/adviser Bradley Renberg is involved in resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Renberg (CRD# 2155253).

Bradley Renberg has spent 26 years in the securities industry and has been registered with Ameriprise Financial Services in West Des Moines, Iowa since 2009. Previous registrations include Ameriprise Advisor Services in West Des Moines, Iowa (1993-2009) and Hibbard Brown & Company in New York, New York (1991-1992). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on August 28, 2001; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on September 11, 1991; Series 31 (Futures Managed Funds Examination), which he obtained on May 22, 2006; Series 7 (General Securities Representative Examination), which he obtained on August 13, 1991; and Series 8 (General Securities Sales Supervisor Examination [Options Module & General Module]), which he obtained on March 9, 1998. He is a registered broker and investment adviser with 20 US states and territories: Arizona, California, Colorado, Florida, Illinois, Iowa, Massachusetts, Michigan, Minnesota, Missouri, Nebraska, New Hampshire, New Mexico, North Carolina, Pennsylvania, Tennessee, Texas, Virginia, Washington, and Wisconsin.

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