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901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-10-27 |
| CT | RA | APPROVED | 2014-05-12 |
| RI | RA | APPROVED | 2002-11-12 |
Branch Locations
117 Metro Center Blvd Ste 2004, Warwick, RI 02886 • United States
158 Main St Suite 1, Putnam, CT 06260-1964 • United States
East Greenwich, RI • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ameriprise Financial Services, Inc. | Warwick | RI | 09/2005 | 03/2020 |
| Ameriprise Financial Services, Llc | Warwick | RI | 03/2020 | Present |
Real Estate Ownership; Commercial; 117 Metro Center Blvd. Ste. 2004Warwick, RI 02886, ,; ; . Business Ownership; SNE Operations, LLC; Compensation will be paid for providing client service support, analysis andrecommendations as it relates to Financial planning and Managed Accounts. Thiswork includes: directing staff duties on a day to day basis, executing paperwork,completing analysis, providing recommendations, meeting with clients, answeringad hoc questions/calls from clients and ensuring key compliance expectations arebeing met. I will have a set salary for this work.; Compensation will be paid for providing client service support, analysis andrecommendations as it relates to Financial planning and Managed Accounts. Thiswork includes: directing staff duties on a day to day basis, executing paperwork,completing analysis, providing recommendations, meeting with clients, answeringad hoc questions/calls from clients and ensuring key compliance expectations arebeing met. I will have a set salary for this work.; 117 Metro Center Blvd Ste 2004, , Warwick, RI, 02886; Not Investment-Related; 02/17/2020; 1 to 9 hours per month; 1 to 9 during trading hours. Outside Employment; SNE Advisors LLC; CMO/AFA - Associate Financial Advisor and Chief Marketing Officer; ; 117 Metro Center Blvd. Ste 2004, , Warwick, RI, 2886; Investment-Related; 07/01/2020; 40 to 59 hours per month; 40 to 59 during trading hours. Other Business Activities; Advisors RE, LLC; Owns our office condo; 117 Metro Center Blvd. Ste. 2004Warwick, RI 02886, ,; ; 06/25/2008; 1 to 9 hours per month; .
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2002-11-08 |
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