PETER ROLAND GROESCHEL is currently employed as a Broker and/or Investment Adviser at AMERIPRISE FINANCIAL SERVICES, INC. located at 601 108th Ave NE, Key Center Bldg Ste 1800, Bellevue, WA, 98004-4383.
PETER ROLAND GROESCHEL has worked at AMERIPRISE FINANCIAL SERVICES, INC. since April 09, 2009
Disclosure History
PETER ROLAND GROESCHEL has 2 Disclosure Event(s).
Date: September 25, 2012 Category: Customer Dispute Allegations: THE CLIENT ALLEGED THE REPRESENTATIVE ADVISED HER TO SELL APPLE AS OPPOSED TO MUTUAL FUNDS IN SEPTEMBER AND OCTOBER OF 2011 WHICH RESULTED IN ADDITIONAL TAX CONSEQUENCES Damage Amount Requested: $41,242.49
Date: October 07, 2010 Category: Customer Dispute Allegations: THE CLIENT ALLEGES THAT THE INVESTMENT ADVICE HE RECEIVED WAS NOT SOUND GIVEN HIS AGE AND CIRCUMSTANCE IN HIS BROKERAGE ACCOUNT, PURCHASED IN DECEMBER 2002. Damage Amount Requested: $13,834.00
More Information
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