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RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

SCOTT ANTHONY OSBORNE

Advisor at AMERIPRISE FINANCIAL SERVICES, LLC

EDGEWOOD, KY | Union, KY

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Search this name across graphsid dfx:ria:8a0e49ab-6172-73ed-51d2-5e5f4c0dde36

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:40 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: May 30, 2007 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: May 30, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S66
First exam: May 16, 2011
First registration: May 30, 2007
Dual registered: yes, broker-dealer
Other names: Scott A Osborne|Scott Osborne
IAPD individual key: 5286872

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	Dec 9, 2015	n/a	yes	EDGEWOOD, KY\|Union, KY	Current employment
UBS FINANCIAL SERVICES INC.	Wirehouse	Oct 28, 2014	Dec 16, 2015	no	CINCINNATI, OH	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	May 17, 2011	Mar 1, 2013	no	Cincinnati, OH	Previous registration
MORGAN STANLEY & CO. LLC	n/a	May 30, 2007	Nov 19, 2007	no	CINCINNATI, OH	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
UBS FINANCIAL SERVICES INC.	AMERIPRISE FINANCIAL SERVICES, LLC	Dec 16, 2015	Dec 9, 2015	-7	Firm change	Wirehouse to ibd
AMERIPRISE FINANCIAL SERVICES, LLC	UBS FINANCIAL SERVICES INC.	Mar 1, 2013	Oct 28, 2014	606	Firm change after gap	Ibd to wirehouse
MORGAN STANLEY & CO. LLC	AMERIPRISE FINANCIAL SERVICES, LLC	Nov 19, 2007	May 17, 2011	1,275	Firm change after gap	Other

Relationships

Registered with (3)

→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
May 17, 2011 to Mar 1, 2013factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Oct 28, 2014 to Dec 16, 2015factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
May 30, 2007 to Nov 19, 2007factForm ADV

Dated events

No dated event names this entity yet.