TrueAdvisor
TrueAdvisor
SF
SF

Scott Finley

Ameriprise Financial Services, LLC
28 Years of Experience
Sugar Land, TX
2 DisclosuresBroker
View SEC Summary
View SEC Summary

Scott Finley is a registered investment advisor at Ameriprise Financial Services, LLC, based in Sugar Land, TX, with 28 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

2277 Plaza Dr, Ste 650, Sugar Land, TX, 77479-6702

Get directions

History

Regulatory History (2)
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.
Customer Dispute
October 2013
Denied
Customer Dispute
January 2001
Withdrawn
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Scott serves as a speaker curator for Finley, dedicating minimal time. He also works as a soccer referee, spending about 10-20% of his time on this activity.

Employment History
Current Registrations
Ameriprise Financial Services, LLCBroker
October 2009 - Present · 17 yrs
Ameriprise Financial Services, LLC
October 2009 - Present · 17 yrs
Ameriprise Financial Services, LLC
October 2009 - Present · 17 yrs
Previous Registrations
Ameriprise Advisor Services, INC.
February 2009 - October 2009 · 8 mos
Ameriprise Advisor Services, INC.Broker
January 2009 - October 2009 · 9 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
September 2003 - January 2009 · 5 yrs 4 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
September 2003 - January 2009 · 5 yrs 4 mos
UBS Financial Services INC.Broker
July 1999 - September 2003 · 4 yrs 2 mos
UBS Financial Services INC.
July 1999 - September 2003 · 4 yrs 2 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
August 1998 - July 1999 · 11 mos
State Registrations7 states
ARCAFLINLAMATX
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 Sugar Land, TX →All financial advisors in Texas →