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901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2025-03-28 |
| CT | RA | APPROVED | 2014-05-20 |
| TX | RA | APPROVED_RES | 2014-01-22 |
| RI | RA | APPROVED | 2001-01-01 |
Branch Locations
117 Metro Center Blvd Ste 2004, Warwick, RI 02886 • United States
158 Main St Suite 1, Putnam, CT 06260-1964 • United States
Warwick, RI • United States
Bradenton, FL • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| 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, Suite 2004Warwick, RI 02886, , Warwick, RI, 02886; Not Investment-Related; 04/01/2008. Business Ownership; SNE Operations, LLC; Compensation will be paid for providing client service support, analysis, and recommendations as it relates to Financial planning and Managed accounts. This work includes: directing staff duties on a day to day basis, executing paperwork, completing analysis, providing recommendations, meeting with clients, answering ad hoc questions/ calls from clients and ensuring key compliance expectations are being met. I will have a set salary for this work.; Compensation will be paid for providing client service support, analysis and recommendations as it relates to Financial planning and Managed accounts. This work includes: directing staff duties on a day to day basis, executing paperwork, completing analysis, providing recommendations, meeting with clients, answering ad hoc questions/calls from clients and ensuring key compliance expectations are being 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; 10 to 19 hours per month; 1 to 9 during trading hours. Outside Employment; SNE Operations LLC; CEO Managing Partner - Aide in providing management and decision making with regard to strategic vision, operational and financial support of the Ameriprise Financial Practice.; ; 117 Metro Center Blvd., Ste 2004, , Warwick, RI, 2886; Not Investment-Related; 07/01/2020; 40 to 59 hours per month; 20 to 39 during trading hours. Other Business Activities; Advisors RE, LLC; Real estate holding; 117 Metro Center Blvd Ste 2004Warwick Ri 02886, ,; ; 06/01/2008; 0 hours per month; 0 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1990-01-30 |
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