GARY THOMAS WARD

GARY THOMAS WARD is currently employed as a Broker and/or Investment Adviser at AMERIPRISE FINANCIAL SERVICES, INC. located at 1616 WESTGATE CIR, BRENTWOOD, TN, 37027.

GARY THOMAS WARD has worked at AMERIPRISE FINANCIAL SERVICES, INC. since October 08, 1996

Disclosure History

GARY THOMAS WARD has 3 Disclosure Event(s).

Date: March 20, 2009
Category: Customer Dispute
Allegations: CLIENTS ALLEGE THE ADVISOR PROVIDED INAPPROPRIATE INVESTMENT ADVICE BETWEEN JUNE 2001 AND JULY 2007.
Damage Amount Requested: $5,000.00
Broker Comment: THE FIRM FOUND THE ADVISOR RECOMMENDED APPROPRIATE INVESTMENTS.

Date: September 16, 2004
Category: Customer Dispute
Allegations: CLIENT ALLEGED THAT I PURCHASED A CNL RETIREMENT PROPERTIES REIT FOR HER WITHOUT HER KNOWLEDGE OR CONSENT.
Damage Amount Requested: $10,000.00
Broker Comment: THE FIRM FOUND I PROVIDED THE CLIENT WITH PROSPECTUSES AND SUFFICIENT INFORMATION REGARDING THE SALE OF ALL INVESTMENTS INCLUDING THE CNL REIT AND THAT ALL TRANSACTIONS WERE MADE WITH THE CLIENTS KNOWLEDGE AND CONSENT BASED ON THE PLACEMENT OF HER SIGNATURE ON ALL DOCUMENTS

Date: November 17, 2003
Category: Customer Dispute
Allegations: THE CLIENTS ALLEGED THAT THEIR ACCOUNTS SHOULD HAVE BEEN REVIEWED MORE OFTEN AND RECOMMENDATIONS SHOULD HAVE BEEN MADE TO REALLOCATE THEIR PORTFOLIO WHILE I SERVICED THEIR ACCOUNTS FROM JULY 1998 THROUGH JANUARY 2002. THE CLIENTS ALSO STATED THAT THEIR ACCOUNTS HAD A GREATER ALLOCATION IN FOREIGN INVESTMENTS THAN THEY HAD REQUESTED.
Damage Amount Requested: $5,000.00
Broker Comment: THE FIRM FOUND THAT THE CLIENTS' ACCOUNTS WERE REGULARLY REVIEWED AND THE RECOMMENDED INVESTMENT ALLOCATION ALIGNED WITH THE CLIENT'S STATED GOALS AN OBJECTIVE

More Information

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