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RIA / WealthAdvisordual registered (broker-dealer)28 years in industry

SCOTT ALAN FINLEY

Advisor at AMERIPRISE FINANCIAL SERVICES, LLC

SUGAR LAND, TX | Missouri City, TX

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Search this name across graphsid dfx:ria:6fe2ffb7-7237-d568-733f-15f2dcb8a2b7

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 11:51 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jul 9, 1999 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: AMERIPRISE FINANCIAL SERVICES, LLC
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 18, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 16derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Sep 18, 1998
First registration: Jul 9, 1999
Dual registered: yes, broker-dealer
Other names: SCOTT A FINLEY
IAPD individual key: 3088361

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Oct 5, 2009	n/a	yes	SUGAR LAND, TX\|Missouri City, TX	Current employment
AMERIPRISE ADVISOR SERVICES, INC.	n/a	Feb 4, 2009	Oct 5, 2009	no	SUGAR LAND, TX	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Sep 9, 2003	Jan 27, 2009	no	SUGAR LAND, TX\|SUGAR LAND, TX	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Jul 9, 1999	Sep 15, 2003	no	SUGARLAND, TX	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
AMERIPRISE ADVISOR SERVICES, INC.	AMERIPRISE FINANCIAL SERVICES, LLC	Oct 5, 2009	Oct 5, 2009	0	Bulk transfer	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	AMERIPRISE ADVISOR SERVICES, INC.	Jan 27, 2009	Feb 4, 2009	8	Firm change	Other
UBS FINANCIAL SERVICES INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Sep 15, 2003	Sep 9, 2003	-6	Firm change	Wirehouse to wirehouse

Relationships

Registered with (4)

→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: current employment
Oct 5, 2009 to presentfactForm ADV
→ AMERIPRISE ADVISOR SERVICES, INC.Registered adviserregistration: previous registration
Feb 4, 2009 to Oct 5, 2009factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Sep 9, 2003 to Jan 27, 2009factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Jul 9, 1999 to Sep 15, 2003factForm ADV

Dated events

No dated event names this entity yet.