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901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2026-06-25 |
| RI | RA | APPROVED | 2020-11-13 |
Branch Locations
1200 Central Ave, Pawtucket, RI 02861-2200 • United States
Barrington, RI • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Providence | RI | 08/2013 | 05/2018 |
| Bank Of America, N.A. | Providence | RI | 08/2013 | 05/2018 |
| Citizens Securities, Inc. | Cranston | RI | 05/2018 | 11/2020 |
| Ameriprise Financial Services, Llc | Cranston | RI | 11/2020 | Present |
Board of Directors; The SISU Advantage; Chairman of the Board; 20370 Northpark Dr, , Ashburn, VA, 20147; Not Investment-Related; 05/01/2020; 1 to 9 hours per month; 0 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2010-09-17 |
| S63 | Uniform Securities Agent State Law Examination | 2010-03-09 |
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