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Aaron Harrison Fired from Ameriprise Financial Services for Alleged Policy Violations

Aaron Harrison (CRD #: 5975328), a broker registered with Citizens Securities, was fired from his previous firm, according to his BrokerCheck record, accessed on April 11, 2023. If you have questions about his alleged conduct as a broker, read on.

Termination from Ameriprise Financial Services

On March 8, 2023, Aaron Harrison was fired from Ameriprise Financial Services for allegedly violating firm policies concerning financial planning fees and compliance with supervision.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Failing to comply with supervision arrangements may constitute a violation of FINRA Rule 2010. 

Background Information

Aaron Harrison has passed the following exams:

  • Series 66 – Uniform Combined State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination

Aaron Harrison is not currently a registered broker in any state.

He has also worked for Citizens Securities (CRD#:39550) and Ameriprise Financial Services (CRD#:6363).

Kurta Law Can Help

If you worked with Aaron Harrison and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. 

 

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