SANDRA CHRISTINE SMILEY is currently employed as a Broker and/or Investment Adviser at AMERIPRISE FINANCIAL SERVICES, INC. located at 1585 KAPIOLANI BLVD, STE 1100, HONOLULU, HI, 96814-4523.
SANDRA CHRISTINE SMILEY has worked at AMERIPRISE FINANCIAL SERVICES, INC. since December 23, 1985
Disclosure History
SANDRA CHRISTINE SMILEY has 1 Disclosure Event(s).
Date: December 14, 2005 Category: Customer Dispute Allegations: THE CLIENT ALLEGED SHE WAS UNAWARE OF HAVING PURCHASED A NEW ANNUITY IN AUGUST OF 2005 WITH THE PROCEEDS FROM ANOTHER ANNUITY AND THEREFORE WAS NOT PROVIDED WITH FULL AND FAIR DISCLOSURE. SHE REQUESTED WE RESCIND THE ANNUITY. Damage Amount Requested: $7,757.24 Broker Comment: THE FIRM FOUND THE CLIENT SIGNED AND INITIALED THE APPLICABLE DISCLOSURES AND APPLICATION FOR A NEW ANNUITY CONTRACT. HOWEVER WE RESCINDED THE CONTRACT BECAUSE IT APPEARS THE CLIENT BELIEVED THE PAPERWORK WAS FOR A REGISTRATION CHANGE.
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