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901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2014-05-09 |
| RI | RA | APPROVED | 1995-01-01 |
Branch Locations
117 Metro Center Blvd Ste 2004, Warwick, RI 02886 • United States
158 Main St Suite 1, Putnam, CT 06260-1964 • United States
Cumberland, RI • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Woonsocket Health & Racquet Club | Woonsocket | RI | 12/1992 | Present |
| 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 BlvdSuite 2004Warwick, RI 02886, ,; ; / Single Family; 6705 Grand Estuary Trail Unit 104, , Bradenton, FL, 34212; Investment-Related; 07/06/2020. 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 / Advisors RE LLC; Partner; Real Estate holding company; 177 Metro Center Blvd. Suite 2004, , Warwick, RI, 02886; Investment-Related; 06/01/2008; 1 to 9 hours per month; 0 during trading hours. Outside Employment; Advisors RE LLC; Partner - Participate in meetings and decisions on condo expenses, updates etc.; ; 117 Metro Center Blvd. Suite 2004, , Warwick, RI, 2886; Investment-Related; 06/04/2008; 1 to 9 hours per month; 1 to 9 during trading hours / SNE Operations, LLC; Asst. Chief Investment Officer; Manage advisory business; 117 Metro Center Blvd, Suite 2004, Warwick, RI, 02886; Investment-Related; 07/01/2020; 1 to 9 hours per month; 1 to 9 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1993-12-10 |
| S65 | Uniform Investment Adviser Law Examination | 1993-12-10 |
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