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901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-04-12 |
| CT | RA | APPROVED | 2022-08-19 |
| RI | RA | APPROVED | 2020-07-09 |
Branch Locations
117 Metro Center Blvd Ste 2004, Warwick, RI 02886 • United States
158 Main St Suite 1, Putnam, CT 06260-1964 • United States
Exeter, RI • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Santander Securities | Guaynabo | PR | 09/2012 | 11/2016 |
| Ameriprise Financial Services, Llc | Warwick | RI | 02/2020 | Present |
| Caring For Family Member | Exeter | RI | 11/2016 | 08/2019 |
| Unemployed | Exeter | RI | 08/2019 | 02/2020 |
Business Ownership; SNE Operations, LLC; Co-owner; Manage Ameriprise Business; Ameriprise Financial Services, LLC, 117 Metro Center Blvd, Ste 2004, Warwick, RI, 02886; Investment-Related; 03/30/2020; 1 to 9 hours per month; 1 to 9 during trading hours. Outside Employment; SNE Operations, LLC; Advisor; Advisor; 117 Metro Center Blvd, , Warwick, RI, 02886; Investment-Related; 06/29/2020; 40 to 59 hours per month; 60 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2020-07-01 |
| S63 | Uniform Securities Agent State Law Examination | 2009-10-09 |
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