Andrew Hess

Broker Andrew Hess in Ameriprise Financial Services, LLC Firm Has Customer Complaint

December 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Hess (Hess), previously associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hess 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 January 10, 2022.

Claimants allege that Respondent failed to properly allocate and diversify their investment portfolio and that they were recommended unsuitable alternative investments including Carey Watermark/Watermark Lodging Trust REIT and FSEP.

There are Recent Customer Complaints with Broker Andrew Hess in Firm LPL Enterprise, LLC

December 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Hess (Hess), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hess 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 $24,000.00 on October 24, 2025.

Claimant alleges that in 2015 and 2016, former advisor Hess recommended that she invest her retirement funds in a ROTH IRA account rather than contribute to her 403B account through her employer. In July 2025, Claimant discovered that she had not been contributing to the Ameriprise ROTH IRA account. Claimant claims that Hess should have followed up with her on contributing to her ROTH, but did not.

Broker Andrew Hess in Ameriprise Financial Services, LLC Firm Has Customer Complaint

December 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Hess (Hess), previously associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hess 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 January 10, 2022.

Claimants allege that Respondent failed to properly allocate and diversify their investment portfolio and that they were recommended unsuitable alternative investments including Carey Watermark/Watermark Lodging Trust REIT and FSEP.

Broker Andrew Hess in LPL Enterprise, LLC Firm Has Customer Complaint

November 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Hess (Hess), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hess 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 $24,000.00 on September 01, 2025.

Customers allege that in December of 2016, representative recommended an investment strategy in systematic investment plans that was inappropriate for the customers’ investment objectives and risk tolerance.