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Current Employers
Ameriprise Financial Services, Llc

901 3Rd Avenue South, Minneapolis, MN 55402 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2009-10-05
  • TX RA
    APPROVED
    Since 2009-10-05

Branch Locations

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

Missouri City, TX • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. Sugar Land TX 10/2009 03/2020
Ameriprise Financial Services, Llc Sugar Land TX 03/2020 Present
Previous Registrations
Other Businesses

Outside Employment; Soccer Referee; soccer Referree - soccer Referee; ; n/a, , n/a, TX, 0; Not Investment-Related; 02/01/2020; 10 to 19 hours per month; 0 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 1998-09-18
  • S66 Uniform Combined State Law Examination
    1998-09-18
Other Names
  • Scott A Finley

View on SEC IAPD

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