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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2014-05-09
RI RA APPROVED 1995-01-01
  • CT RA
    APPROVED
    Since 2014-05-09
  • RI RA
    APPROVED
    Since 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

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
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
  • 12/1992 → Present
    Woonsocket Health & Racquet Club
    Woonsocket, RI
  • 09/2005 → 03/2020
    Ameriprise Financial Services, Inc.
    Warwick, RI
  • 03/2020 → Present
    Warwick, RI
Other Businesses

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.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1993-12-10
S65 Uniform Investment Adviser Law Examination 1993-12-10
  • S63 Uniform Securities Agent State Law Examination
    1993-12-10
  • S65 Uniform Investment Adviser Law Examination
    1993-12-10
Other Names
  • Bill Slaney

View on SEC IAPD

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