Scott M. Sams

NORTH CAPITAL

Waukee, IA

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CRD#: 4465912

Professional summary

Scott Michael Sams, CIMA® is a registered financial advisor currently at NORTH CAPITAL located in Waukee, Iowa and NORTH CAPITAL PRIVATE SECURITIES CORPORATION located in Salt Lake City, Utah.

Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Scott has worked at 5 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 3 and Series 7 exams.

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1) Access/supervised person of MLG Capital, and will perform certain functions for it and its affiliates. Yes, it is investment related, 19000 W. Bluemound Rd, Suite A, Brookfield, WI 53045, private real estate investment management company, VP of Institutional Business Development is position/title, start date 6/3/2026, 160 hours per month (40 hours per week), 6.5 hours during market/securities trading hours, duties are to lead business development/raising capital with institutional investors for the firm's private fund series. 2) Grand View University Investment Sub-Committee of the Finance Committee, yes it is investment related, 1200 Grand View Ave Des Moines, IA 50316. The GVU Investment Sub-Committee is part of the Finance Committee and is charged with the oversight of the endowment investments, including retention of an independent investment consultant, his position is committee member, start date is 1/11/19, 1 hour a month, 1 hour during market hours, duties are to coordinate the activities of investment managers, the investment consultant and the investment custodian and make recommendations to the Finance Committee.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Michael Sams's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CIMA^®

Certified Investment Management Analyst

Experience

Current

June 17, 2026 - Present

NORTH CAPITAL

RIA

CRD#: 148802

Waukee, IA

Current

June 23, 2026 - Present

NORTH CAPITAL PRIVATE SECURITIES CORPORATION

Office #1: 623 E Ft Union Blvd Suite 101, Salt Lake City, UT 84047

CRD#: 154559

SALT LAKE CITY, UT

Past

January 16, 2016 - August 1, 2024

PRINCIPAL FUNDS DISTRIBUTOR, INC.

CRD#: 43261

DES MOINES, IA

Past

February 13, 2006 - August 1, 2024

PRINCIPAL ASSET MANAGEMENT

RIA

CRD#: 109002

DES MOINES, IA

Past

February 8, 2002 - April 13, 2016

PRINCIPAL SECURITIES, INC.

CRD#: 1137

DES MOINES, IA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

NORTH CAPITAL

CRD#: 148802 / SEC#: 801-110598

RIA

Registered Investment Advisory firm - (5/17/2017 Approved)

California

Registered Investment Advisory firm - (7/2/2017 Terminated)

Utah

Registered Investment Advisory firm - (6/2/2017 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(6/23/2026)

Alaska
(6/23/2026)

Arizona
(6/23/2026)

Arkansas
(6/23/2026)

California
(6/23/2026)

Colorado
(6/23/2026)

Connecticut
(6/23/2026)

Delaware
(6/23/2026)

District of Columbia
(6/23/2026)

Florida
(6/23/2026)

Georgia
(6/23/2026)

Hawaii
(6/23/2026)

Idaho
(6/23/2026)

Illinois
(6/23/2026)

Indiana
(6/23/2026)

Iowa
(6/23/2026)

Kansas
(6/23/2026)

Kentucky
(6/23/2026)

Louisiana
(6/23/2026)

Maine
(6/23/2026)

Maryland
(6/23/2026)

Massachusetts
(6/23/2026)

Michigan
(6/23/2026)

Minnesota
(6/23/2026)

Mississippi
(6/23/2026)

Missouri
(6/23/2026)

Montana
(6/23/2026)

Nebraska
(6/23/2026)

Nevada
(6/23/2026)

New Hampshire
(6/23/2026)

New Jersey
(6/23/2026)

New Mexico
(6/23/2026)

New York
(6/23/2026)

North Carolina
(6/23/2026)

North Dakota
(6/23/2026)

Ohio
(6/24/2026)

Oklahoma
(6/23/2026)

Oregon
(6/23/2026)

Pennsylvania
(6/23/2026)

Rhode Island
(6/23/2026)

South Carolina
(6/23/2026)

South Dakota
(6/23/2026)

Tennessee
(6/23/2026)

Texas
(6/23/2026)

IAR

Utah
(6/17/2026)

Utah
(6/23/2026)

Vermont
(6/23/2026)

Virginia
(6/23/2026)

Washington
(6/23/2026)

West Virginia
(6/23/2026)

Wisconsin
(6/23/2026)

Wyoming
(6/23/2026)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/13/2006

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 2/19/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/28/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 12/9/2013

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 2/7/2002

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

NORTH CAPITAL

CRD#: 148802 / SEC#: 801-110598

RIA

Registered Investment Advisory firm - (5/17/2017 Approved)

California

Registered Investment Advisory firm - (7/2/2017 Terminated)

Utah

Registered Investment Advisory firm - (6/2/2017 Terminated)

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Contact information

Main Address

623 E Fort Union Blvd. Suite 101, Salt Lake City, UT 84047

Mailing Address

Phone number

888-625-7768 X1

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (6/27/2025)

Regulatory assets under management

Total Number of Accounts	642
AUM (Assets Under Management)	$ 292,582,491

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Scott M. Sams

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Michael Sams's CRS (Customer Relationship Summary).

Certified licenses

Experience

NORTH CAPITAL PRIVATE SECURITIES CORPORATION

PRINCIPAL FUNDS DISTRIBUTOR, INC.

PRINCIPAL ASSET MANAGEMENT

PRINCIPAL SECURITIES, INC.

Primary Firm SEC Registration

NORTH CAPITAL

State Registrations and Notice Filings

Exams

Series 66

Date: 1/13/2006

Series 65

Date: 2/19/2002

Series 63

Date: 1/28/2002

SIE

Date: 10/1/2018

Series 3

Date: 12/9/2013

Series 7

Date: 2/7/2002

FINRA

Current Firm

NORTH CAPITAL

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NORTH CAPITAL

TRUST BUT VERIFY

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