Scott Finley
Scott Finley is a registered investment advisor at Ameriprise Financial Services, LLC, based in Sugar Land, TX, with 27 years of industry experience. Scott operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management. Their firm serves 1,330,280 clients with $560B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Ameriprise Financial Services offers several managed account programs. The fees vary depending on the program selected. These fees include an asset-based fee, which covers investment advisory services and investment management fees. Some accounts may also have an Investments and Infrastructure Support Fee. Clients also pay investment costs, which are the underlying fees related to investment products purchased within the managed account. Additional fees and expenses may be incurred based on the nature of the investments.
Location
2277 Plaza Dr, Ste 650, Sugar Land, TX, 77479-6702
Get directionsHistory
Regulatory History (2)
Customer Dispute
October 2013Customer Dispute
January 2001Other 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
Ameriprise Financial Services, LLC
Ameriprise Financial Services, LLC
Previous Registrations
Ameriprise Advisor Services, INC.
Ameriprise Advisor Services, INC.Broker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Merrill Lynch, Pierce, Fenner & Smith Incorporated
UBS Financial Services INC.Broker
UBS Financial Services INC.
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
State Registrations7 states
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.