Scott Sams is a registered investment advisor, based in Waukee, IA, with 22 years of industry experience. Scott is also registered as a broker, so some compensation may come from commissions on products sold.
Location
Waukee, IA
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
North Capital Private Securities CorporationBroker
June 2026 - Present · 4 mos
North Capital Private Securities Corporation
June 2026 - Present · 4 mos
North Capital
June 2026 - Present · 4 mos
Previous Registrations
Principal Funds Distributor, INC.Broker
January 2016 - August 2024 · 8 yrs 7 mos
Principal Asset Management
February 2006 - August 2024 · 18 yrs 6 mos
Princor Financial Services CorporationBroker
February 2002 - April 2016 · 14 yrs 2 mos
State Registrations51 states
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AdvisorBrokerBoth
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Exams
No exam information available for this advisor.
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