Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryan Stevens (Stevens), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Stevens recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on October 06, 2020.
Client complains that the financial advisor did not advise that she would be giving up lifetime income on an annuity that was surrendered and reinvested into a managed account. (6/3/2020-9/30/2020)