Articles Tagged with Ameriprise Financial Services

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.

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.

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.

Paul GordonPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 2, 2018 indicate that former New Jersey-based Ameriprise Financial Services broker/adviser Paul Gordon is involved in resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Gordon (CRD# 1027219).

Paul Gordon has spent 36 years in the securities industry and has been registered with Ameriprise Financial Services in Saddle Brook, New Jersey since 2016. Previous registrations include RBC Capital Markets in Paramus, New Jersey (2009-2016) and JB Hanauer & Company in Parsippany, New Jersey (1982-2009). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on May 3, 2002; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on June 9, 1982; Series 7 (General Securities Representative Examination), which he obtained on January 16, 1982; Series 53 (Municipal Securities Principal Examination), which he obtained on June 7, 1985; and Series 24 (General Securities Principal Examination), which he obtained on February 1, 1985. He is a registered broker and investment adviser with 17 US states and territories: California, Connecticut, Delaware, Florida, Georgia, Iowa, Maryland, Massachusetts, Missouri, Nevada, New Jersey, New York, Ohio, Oregon, Pennsylvania, Vermont, and Virginia.

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

Steven Yellen

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on February 27, 2018 indicate that former Texas-based Ameriprise Financial Services broker/adviser Steven Yellen, who has received a customer dispute, was discharged from a 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. Yellen (CRD# 1281663).

Steven Yellen has spent 33 years in the securities industry and was most recently registered with Ameriprise Financial Services in El Paso, Texas (2016-2018). Previous registrations include Morgan Stanley in El Paso, Texas (2009-2016); Morgan Stanley & Company in El Paso, Texas (2007-2009); and Morgan Stanley DW in El Paso, Texas (1984-2007). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on August 23, 1996; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on September 13, 1984; Series 3 (National Commodity Futures Examination), which he obtained on October 10, 1986; and Series 7 (General Securities Representative Examination), which he obtained on August 18, 1984. He is currently not registered with any state or firm.

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

Mark DegnerPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on February 20, 2017 indicate that Oregon-based Ameriprise Financial Services broker/adviser Mark Degner has been sanctioned by FINRA in connection to alleged rule violations. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Degner (CRD# 2364726).

Mark Degner has spent 24 years in the securities industry and has been registered with Ameriprise Financial Services in Medford, Oregon since March 2017. Previous registrations include LPL Financial in Medford, Oregon (1999-2017); Merrill Lynch in New York, New York (1995-1999); Smith Barney in New York, New York (1993-1995); and Lehman Brothers in New York, New York (1993). He has passed five securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on April 25, 2003; Series 65 (Uniform Investment Adviser Law Examination), which he obtained on July 9, 1993; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on July 9, 1993; Series 7 (General Securities Representative Examination), which he obtained on July 7, 1993; and Series 24 (General Securities Principal Examination), which he obtained on June 1, 1999. He is a registered broker and investment adviser with 26 US states and territories: Alaska, Arizona, California, Colorado, Florida, Hawaii, Idaho, Illinois, Iowa, Louisiana, Massachusetts, Montana, Nevada, New Jersey, New Mexico, New York, North Carolina, Ohio, Oregon, Pennsylvania, South Carolina, Tennessee, Texas, Virginia, Washington, and Wisconsin.

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

Cory Taylor

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 25, 2017 indicate that former Ohio-based Ameriprise Financial Services broker Cory Taylor has been sanctioned by FINRA and barred from acting as a broker or otherwise associating with a broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Taylor (CRD# 4397111).

Cory Taylor has spent 12 years in the securities industry and was most recently registered with Ameriprise Financial Services in Nelsonville, Ohio (2004-2016). 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 October 2, 2004, and Series 7 (General Securities Representative Examination), which he obtained on July 10, 2004. He is currently not registered with any state or firm.

According to his BrokerCheck report, Cory Taylor has received three regulatory sanctions and resigned from his former employer in connection to alleged rule violations.

Barry AbramsPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 24, 2017 indicate that former New Jersey-based Ameriprise Financial Services broker/adviser Barry Abrams, who has been sanctioned by FINRA in connection to alleged rule violations, is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Abrams (CRD# 488).

Barry Abrams has spent 45 years in the securities industry and was most recently registered with Ameriprise Financial Services in Marlton, New Jersey (2014-2017). Previous registrations include BCG Securities in Cherry Hill, New Jersey (2014); Securities Service Network in Mt. Laurel, New Jersey (2001-2013); Morgan Stanley DW in Purchase, New York (1995-2001); Painewebber in Weehawken, New Jersey (1991-1995); Prudential Securities in New York, New York (1985-1991); EF Hutton & Company (1977-1985); Edwards & Hanley (1975-1980); Janney Montgomery Scott (1975-1977); and Bache & Company (1972-1974). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on February 18, 1980; PC (AMEX Put and Call Exam), which he obtained on August 31, 1977; and Series 1 (Registered Representative Examination), which he obtained on July 24, 1972. He is currently not registered with any state or firm.

According to his BrokerCheck report, Barry Abrams has received two customer complaints and one FINRA sanction, and was discharged from a former employer in connection to alleged rule violations.

Corey MireauPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on December 22, 2017 indicate that Minnesota-based Ameriprise Financial Services broker/adviser Corey Mireau, who has received a pending customer complaint, resigned 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 speaking to investors who have complaints regarding Mr. Mireau (CRD# 3046777).

Corey Mireau has spent 19 years in the securities industry and was most recently registered with Ameriprise Financial Services in Eden Prairie, Minnesota (1998-2017). He was previously registered with IDS Life Insurance Company in Minneapolis, Minnesota (1998-2006). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on March 13, 1999; Series 7 (General Securities Representative Examination), which he obtained on January 18, 1999; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on May 4, 1998. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received one customer complaint and three tax liens, and he resigned from his former employer in connection to alleged rule violations.

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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