TrueAdvisor
TrueAdvisor
SB
CFP
SB
CFP

Scott Brooks

Ameriprise Financial Services, LLC
30 Years of Experience
Edgewood, KY
1 DisclosureBroker
View SEC Summary
View SEC Summary

Scott Brooks is a CFP-designated registered investment advisor at Ameriprise Financial Services, LLC, based in Edgewood, KY, with 30 years of industry experience. Scott is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Charitable Giving, Corporate Executives, Education Planning, and 6 more. Their firm serves 1,386,329 clients with $660B in assets under management.

Ameriprise Financial Services, LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
12955 advisors
Number of Clients
1,386,329 clients
Average Client Portfolio
$476K average
Assets Under Management
$660.5B

Fee Structure

Minimum Investment:$2K
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.00%

The maximum total annual advisory fee is 2.0% of managed account assets. Fees are negotiable with your financial advisor and vary based on the specific program and services selected.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

130 Dudley Pike, Ste 250, Edgewood, KY, 41017-4312

Get directions

History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Regulatory
January 2014
Final
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Scott owns rental real estate and is the owner and president of Breakwater, LLC, which provides support services to his Ameriprise practice. He also owns Instill, LLC, an operating LLC for his franchise, and dedicates minimal time to it.

Employment History
Current Registrations
Ameriprise Financial Services, LLC
September 2003 - Present · 23 yrs 1 mo
Ameriprise Financial Services, LLC
August 1996 - Present · 30 yrs 2 mos
Ameriprise Financial Services, LLCBroker
August 1996 - Present · 30 yrs 2 mos
Previous Registrations
Ids Life Insurance CompanyBroker
August 1996 - July 2006 · 9 yrs 11 mos
State Registrations32 states
ALCACOCTFLGAHIIAILINKYMAMDMIMNMONCNDNENMNVOHOKPASCTNTXUTVAWAWIWY
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
More Advisors
More financial advisors in Edgewood, KY →All financial advisors in Kentucky →