BRIAN ALLAN CURRY is currently employed as a Broker and/or Investment Adviser at AMERIPRISE FINANCIAL SERVICES, INC. located at 22 RAHLING CIRCLE, LITTLE ROCK, AR, 72223.
BRIAN ALLAN CURRY has worked at AMERIPRISE FINANCIAL SERVICES, INC. since February 09, 1981
Disclosure History
BRIAN ALLAN CURRY has 2 Disclosure Event(s).
Date: May 10, 2009 Category: Customer Dispute Allegations: THE CLIENT ALLEGES HER ADVISOR MOVED FUNDS TO A CASH SAFE POSITION WITHIN HER ANNUITY WITHOUT HER AUTHORIZATION. Damage Amount Requested: $13,317.56 Broker Comment: OUR REVIEW FOUND THE ADVISOR RECEIVED DIRECTION FROM THE CLIENT TO TRANSFER THE FUNDS IN THE VARIABLE SUBACCOUNTS TO THE CAST MANAGEMENT ACCOUNT IN THE ANNUITY.
Date: June 23, 2004 Category: Customer Dispute Allegations: THE CLIENT LOST $5,000.00 OF HIS INVESTMENT DUE TO NOT FOLLOWING THROUGH AS PROMISED AND ALLEGED THE VARIABLE UNIVERSAL LIFE POLICY WAS SET UP INCORRECTLY WHEN PURCHASED IN 1990. Damage Amount Requested: $5,000.00 Broker Comment: THE CLIENT REQUESTED HIS COMPLAINT BE WITHDRAWN. THE CLIENTSTATED HE COULD NOT REMEMBER WHAT HE PREVIOUSLY HAD MEANT REGARDING THE LOSSES IN THE INITIAL COMPLAINT AND DID NOT PROVIDE ANY ADDITIONAL INFORMATION. THE VUL WAS SOLD BY A FORMER ADVISOR IN 1990 AND WAS COVERED UNDER THE CLASS ACTION SETTLEMENT.
More Information
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
To view the full report for BRIAN ALLAN CURRY, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.