# JAMES BROCK SCOTT

JAMES BROCK SCOTT is an investment adviser representative (IAR) with state registration records since 2004, appearing at 5 firms. Currently registered with PRINCIPAL SECURITIES, INC..

## Registration history (5)

| Firm | From | To | Current |
| --- | --- | --- | --- |
| [PRINCIPAL SECURITIES, INC.](https://search.stillhousedata.com/firm/1137) | 2014-09-25 | present | Yes |
| [INVESTMENT CENTERS OF AMERICA, INC.](https://search.stillhousedata.com/firm/16443) | 2008-09-19 | 2014-09-16 | — |
| [THRIVENT INVESTMENT MANAGEMENT INC.](https://search.stillhousedata.com/firm/18387) | 2007-11-30 | 2008-09-22 | — |
| [UVEST FINANCIAL SERVICES GROUP, INC.](https://search.stillhousedata.com/firm/13787) | 2006-04-04 | 2007-11-28 | — |
| [AMERIPRISE FINANCIAL SERVICES, LLC](https://search.stillhousedata.com/firm/6363) | 2004-08-06 | 2006-04-10 | — |

## More

- [This representative on SEC IAPD (source of record)](https://adviserinfo.sec.gov/individual/summary/4808718)
- [This page as markdown (for LLM agents)](https://search.stillhousedata.com/rep/4808718.md)
- [Search all SEC filings, advisers and people on Adviser Search](https://search.stillhousedata.com/)

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Source: public SEC filing data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.