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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

Kingston, 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. , Suite 2004, Warwick, RI, 02886; Not Investment-Related; 06/01/2008. 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; 1 to 9 hours per month; 1 to 9 during trading hours. Outside Employment; SNE Operations, LLC; COO, CFO - Operations, Finance; Bill paying entity Staff payroll; 117 Metro Center Blvd, , Warwick, RI, 02886; Not Investment-Related; 07/01/2020; 1 to 9 hours per month; 1 to 9 during trading hours. Other Business Activities; Advisors RE, LLC; Holds real estate; 117 Metro Center Blvd , Ste 2004, Warwick, RI, 02886; Not Investment-Related; 06/01/2008; 1 to 9 hours per month; 1 to 9 during trading hours.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-02-03
S63 Uniform Securities Agent State Law Examination 1995-01-20
  • S65 Uniform Investment Adviser Law Examination
    1995-02-03
  • S63 Uniform Securities Agent State Law Examination
    1995-01-20

View on SEC IAPD

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