Thais Piotrowski: $150K Complaint Against Boca Raton Advisor

Ameriprise Financial Services advisor Thais Piotrowski (CRD# 4729077) allegedly recommended unsuitable investments, according to a recent investor complaint against her. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor based in Boca Raton, Florida. 

Ms. Piotrowski’s BrokerCheck report discloses several investor complaints. The most recent, filed in September 2022, alleges that as a representative of Ameriprise Financial Services, she “recommended unsuitable and aggressive risk alternative investments, including FS company.” The pending complaint alleges damages of $150,000.

An earlier investor complaint, filed in 2013, alleged that she sold an unsuitable variable annuity and refused a partial surrender request while at Ameriprise Financial Services. The complaint alleged unspecified damages and was denied by the firm. (When a complaint is denied by the firm that receives it, this denial does not necessarily mean it was meritless. Investors can still pursue damages through other venues, like FINRA arbitration proceedings.)

A third investor complaint, filed in 2009, alleged she executed an unauthorized mutual fund purchase while an Ameriprise representative. The customer sought $7,319 in damages in the complaint, which was denied by the firm.

According to the Financial Industry Regulatory Authority, Thais Piotrowski holds 18 years of securities industry experience. Based in Boca Raton, Florida, she has been a broker and an investment advisor with Ameriprise Financial Services since 2004. She was previously registered with IDS Life Insurance Company in Minneapolis, Minnesota from 2004 until 2006. Her credentials include the passage of three securities industry qualifying exams: the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; and the Uniform Combined State Law Examination, or Series 66. She holds 37 state licenses. (Information current as of October 5, 2022.)

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