STEVEN RICHARD PINNOW is currently employed as a Broker and/or Investment Adviser at AMERIPRISE FINANCIAL SERVICES, INC. located at 1111 31ST AVE SW, STE A, MINOT, ND, 58701.
STEVEN RICHARD PINNOW has worked at AMERIPRISE FINANCIAL SERVICES, INC. since May 04, 2012
Disclosure History
STEVEN RICHARD PINNOW has 2 Disclosure Event(s).
Date: January 15, 2003 Category: Customer Dispute Allegations: MEMBER OWES MORE THAN $12,000 IN TAXES FROM 2000 FOR TWO ANNUITIES THAT WERE IN HER HUSBAND'S NAME. WHEN HER HUSBAND DIE, FA WROTE NEW VA IN HER NAME USING THE PROCEEDS FROM A FIXED ANNUITY AND A VARIABLE ANNUITY, CREATING A TAXABLE EVENT. MEMBER BELIEVED THAT AS LONG AS SHE KEPT MONEY IN LB VARIABLE ANNUITY, SHE WOULD NOT BE TAXED Damage Amount Requested: $12,000.00 Settlement Amount: $25,625.95
Date: August 28, 2002 Category: Employment Separation After Allegations Firm Name: THRIVENT INVESTMENT MANAGEMENT Termination Type: Permitted to Resign Allegations: VIOLATION OF FIRM POLICIES AND PROCEDURES Broker Comment: UNINTENTIONALLY USED A PIECE OF MARKETING MATERIAL WHICH WAS UNAPPROVED.
More Information
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