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Current Employers
Ameriprise Financial Services, Llc

901 3Rd Avenue South, Minneapolis, MN 55402 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2023-10-27
CT RA APPROVED 2014-05-12
RI RA APPROVED 2002-11-12
  • TX RA
    APPROVED_RES
    Since 2023-10-27
  • CT RA
    APPROVED
    Since 2014-05-12
  • RI RA
    APPROVED
    Since 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

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. Warwick RI 09/2005 03/2020
Ameriprise Financial Services, Llc Warwick RI 03/2020 Present
Other Businesses

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; .

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-11-08
  • S66 Uniform Combined State Law Examination
    2002-11-08
Other Names
  • Timothy Michael Mcgraw

View on SEC IAPD

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