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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
Kingston, RI • United States
No disclosure categories reported as “Yes” on this SEC record.
| 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 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.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-02-03 |
| S63 | Uniform Securities Agent State Law Examination | 1995-01-20 |
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