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Detailed Report
SASHA CESEN
SASA CESEN-RILEY
CRD#: 5646229
IA
Investment Adviser
B
Broker
ADVICE AND PLANNING SERVICESCRD#: 20472 15 PARK ROW WEST
SUITE 102
PROVIDENCE, RI 02903
Registration History
2010201220142016201820202022202420262 FIRMS2022 - Present (2 years)BMML INVESTORS SERVICES, LLC (CRD# 10409)2020 - 2022 (2 years)BNYLIFE SECURITIES LLC (CRD# 5167)2010 - 2020 (10 years)BUVEST FINANCIAL SERVICES GROUP... (CRD# 13787)2009 - 2010 (1 year)IAMML INVESTORS SERVICES, LLC (CRD# 10409)2021 - 2022 (1 year)
License(s)

State Registrations

B
Connecticut 11/17/2022
B
North Carolina 3/7/2024
B
Florida 11/8/2023
B
Rhode Island 11/17/2022
B
Massachusetts 11/17/2022
IA
Rhode Island 11/17/2022
B
New Hampshire 2/5/2025

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
ADVICE AND PLANNING SERVICES (CRD#:20472)
15 PARK ROW WEST SUITE 102, PROVIDENCE, RI 02903
Barrington, RI
Registered with this firm since 11/17/2022
B
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (CRD#:20472)
15 PARK ROW WEST SUITE 102, PROVIDENCE, RI 02903
Barrington, RI
Registered with this firm since 11/17/2022
Previous Registration(s)
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IA
 01/15/2021 - 11/09/2022 MML INVESTORS SERVICES, LLC (CRD#:10409) WARWICK, RI
B
 09/02/2020 - 11/09/2022 MML INVESTORS SERVICES, LLC (CRD#:10409) WARWICK, RI
B
 07/22/2010 - 09/28/2020 NYLIFE SECURITIES LLC (CRD#:5167) JOHNSTON, RI
B
 04/30/2009 - 06/07/2010 UVEST FINANCIAL SERVICES GROUP, INC. (CRD#:13787) MIDDLETOWN, RI
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.