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Scott Allex: Investors are Seeking Six-Figure Damages

Scott Allex (CRD #: 4482938), a broker registered with Ameriprise Financial Services, is involved in two investor disputes, according to his BrokerCheck record, accessed on August 17, 2021. Details are provided below.

On June 18, 2021, an investor alleged that Scott Allex recommended unsuitable investments. Unsuitable investments often do not fit the investor’s financial goals, age, and risk tolerance. The investor is seeking $100,000; the dispute is pending.

Just one month earlier, on May 4, 2021, an investor made similar allegations of unsuitable recommendations. That investor is also seeking $100,000; the dispute is pending.

Scott Allex Background Information

Scott Allex has passed the following exams:

  • Series 65 Uniform Investment Adviser Law Examination
  • Series 63 Uniform Securities Agent State Law Examination
  • Securities Industry Essentials Examination
  • Series 7 General Securities Representative Examination
  • Series 6 Investment Company Products/ Variable Contracts Representative Examination

He is a registered broker in six states and is a registered investment adviser in Texas.

Scott Allex has worked with the following firms:

  • Ameriprise Financial Services (CRD #: 6363)
  • Level Four Advisory Services (CRD #: 134086)
  • LPL Financial (CRD #: 6413)
  • First Allied Securities (CRD #: 32444)
  • Intersecurities (CRD #: 16164)
  • Securian Financial Services (CRD #: 15296)

Kurta Law Can Help

If you worked with Scott Allex and you have concerns about your investments, contact Kurta Law today. Call 877-600-0098 or email jkurta@kurtalawfirm.com.

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