Articles Tagged with Ameriprise Financial Services

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Deangelis (Deangelis), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Deangelis recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $161,000.00 on January 27, 2023.

Claimant alleges his advisor recommended unsuitable investments including exchange traded funds.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Li (Li), previously associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Li recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $694,674.63 on July 15, 2025.

Claimants allege that, in March 2011, Respondents recommend Claimants replace their Hartford annuities with two Genworth Life annuities. Claimants also claim that in late 2022, Respondents recommended that they replace their Genworth annuities with MassMutual annuity products for the purported purpose of earning a higher interest rate. Claimants further allege that this exchange required Claimants to relinquish the Long-Term Care rider provision of the Genworth annuities.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shannon Anderson (Anderson), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Anderson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $17,247.08 on August 01, 2025.

The clients alleged that the recommendation to purchase their non-qualified RiverSource Variable Universal Life Insurance policies was unsuitable in June 2023 based on the client’s goals and needs.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Gant (Gant), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gant recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $5,112.00 on August 08, 2025.

The client alleged the advisor did not follow instructions with agreed-upon actions in the client’s SEP IRA account in December 2022.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ted Boutis (Boutis), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Boutis recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $250,000.00 on August 27, 2025.

Claimants allege they were recommended unsuitable investments in an annuity and a mutual fund.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Nardella (Nardella), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Nardella recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $677,817.54 on September 05, 2025.

The client alleged the advisor sold stocks, including Meta, Microsoft, and Nvidia, without authorization between 2022 and 2023.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brock Brady (Brady), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Brady recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $270,000.00 on October 20, 2022.

Claimant alleges that in 2016 the Representative misrepresented that certain investments, such as a Real Estate Investment Trust, were conservative, secure, and did not carry any significant risks, and the Claimant suffered estimated losses in excess of $270,000.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Everett Ellis (Ellis), previously associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ellis recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $5,000.00 on October 25, 2022.

Customers allege they were told they could not lose money when investing in a variable annuity in October of 2017.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roy Waugh (Waugh), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Waugh recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $300,000.00 on October 24, 2022.

Claimant alleges Respondent did not change the beneficiaries as requested by [REDACTED] prior to her death and that Respondent did not pay the proper beneficiaries.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Hill (Hill), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hill recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $5,000.00 on November 07, 2022.

Client alleges she did not authorize her financial advisor to purchase long-term CD, or its subsequent sale which resulted in market loss.

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