Scott E. Neils

49 FINANCIAL

MINNEAPOLIS, MN 55402

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CRD#: 5025888

Professional summary

Scott Edward Neils, who also goes by Scott E Neils, Scott Edward Neils, Scott Neils, is a registered financial advisor currently at 49 FINANCIAL located in Minneapolis, Minnesota and OAKWOOD CAPITAL SECURITIES, INC. located in Minneapolis, Minnesota.

Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Scott has worked at 6 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Scott E Neils | Scott Edward Neils | Scott Neils

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Edward Neils'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®

None

Experience

Current

July 22, 2025 - Present

49 FINANCIAL

Office #1: 30 South Street 7th Floor, Minneapolis, MN 55402

RIA

CRD#: 319484

MINNEAPOLIS, MN

Current

July 29, 2025 - Present

OAKWOOD CAPITAL SECURITIES, INC.

Office #1: 30 South 9th Street 7th Floor, Minneapolis, MN 55402

CRD#: 21000

Minneapolis, MN

Past

January 7, 2014 - June 26, 2025

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

Minneapolis, MN

Past

June 19, 2009 - October 14, 2009

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

DETROIT, MI

Past

June 12, 2009 - June 26, 2025

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Minneapolis, MN

Past

December 21, 2007 - May 29, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

MINNEAPOLIS, MN

Past

December 18, 2007 - May 29, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

MINNEAPOLIS, MN

Past

July 7, 2006 - November 26, 2007

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

BLOOMINGTON, MN

Past

February 22, 2006 - June 7, 2006

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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".

49 FINANCIAL

49 FINANCIAL | GLADIATOR ADVISORS, LLC | 49 WEALTH MANAGEMENT, LLC

CRD#: 319484 / SEC#: 801-123687

RIA

Registered Investment Advisory firm - (9/8/2022 Approved)

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

IAR

Minnesota
(7/22/2025)

Minnesota
(7/29/2025)

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: 2/23/2006

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/17/2006

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/4/2014

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

49 FINANCIAL

49 FINANCIAL | GLADIATOR ADVISORS, LLC | 49 WEALTH MANAGEMENT, LLC

CRD#: 319484 / SEC#: 801-123687

RIA

Registered Investment Advisory firm - (9/8/2022 Approved)

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Contact information

Main Address

3711 S Mopac Expy Suite 150, Austin, TX 78746

Mailing Address

Phone number

(214) 563-1190

Established

Firm type

Fiscal year end

# of Employees

167

SEC notice filing (35 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE (7/31/2025)

Regulatory assets under management

Total Number of Accounts	2,989
AUM (Assets Under Management)	$ 871,379,407

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
02/25/2025	Cover Page	Report

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 E. Neils

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Edward Neils's CRS (Customer Relationship Summary).

Certified licenses

Experience

OAKWOOD CAPITAL SECURITIES, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE ADVISOR SERVICES, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

WELLS FARGO CLEARING SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

49 FINANCIAL

State Registrations and Notice Filings

Exams

Series 66

Date: 2/23/2006

SIE

Date: 10/1/2018

Series 7

Date: 2/17/2006

Series 24

Date: 6/4/2014

FINRA

Current Firm

49 FINANCIAL

Contact information

SEC notice filing (35 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

49 FINANCIAL

TRUST BUT VERIFY

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