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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| RI | RA | APPROVED | 2024-10-24 |
| TX | RA | APPROVED | 2024-10-24 |
Branch Locations
500 Exchange Street Suite 1210, Providence, RI 02903 • United States
1471 Iyannough Road, Hyannis, MA 02601 • United States
500 Exchange Street Suite 1210, Providence, RI 02903 • United States
2 Union Plaza, New London, CT 06320 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ameriprise Financial Services, Inc. | Plano | TX | 04/2016 | 06/2019 |
| American Enterprise Investment Services Inc. | Grapevine | TX | 06/2019 | 12/2021 |
| Ameriprise Financial Services, Llc | Providence | RI | 11/2021 | 10/2024 |
| Ubs Financial Services, Inc | Providence | RI | 10/2024 | Present |
Board of Directors; Collins; Bryan O; Treasurer; 8000 Midlantic Dr, Suite 130, South Mount Laurel , NJ, 08054; Not Investment-Related; 06/27/2017; 1 to 9 hours per month; 0 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-08-12 |
| S63 | Uniform Securities Agent State Law Examination | 2015-03-10 |
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