Scott Michael Sams
Investment Adviser Representative at North Capital
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Scott Michael Sams is an investment adviser representative with North Capital in Waukee, IA, where they have been registered since 2026. They have worked in the securities industry since 2003 and were previously registered with Principal Asset Management. They have passed 6 industry qualification exams, including the Series 65 (investment adviser), Series 66 (combined investment adviser and state securities agent), and Series 7 (general securities representative). They are registered to provide investment advice in Utah.
Registrations & licenses
- Investment adviser:
- Utah
- Broker:
51 states and territories
Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Ohio, Oklahoma, Oregon, Pennsylvania, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virginia, Washington, West Virginia, Wisconsin, Wyoming
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Principal CapitalMay 2000 – Jun 2024Des Moines, IA
- Principal Funds DistributorJan 2016 – Jul 2024Des Moines, IA
- Principal Asset ManagementJan 2006 – Jul 2024Des Moines, IA
- MLG CapitalJun 2026 – no end date reportedMilwaukee, WI
- North CapitalJun 2026 – no end date reportedSalt Lake City, UT
- UnemployedAug 2024 – May 2026Waukee, IA
Official records & sources
Data as of August 11, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About North Capital
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Hourly
- Fixed fee
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$100M–$500M
- Firm disclosures (Form ADV)
- No disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 11
- Offices listed on AdvisorFinder:
- 1
- Main office:
- Salt Lake City, UT
- SEC file number:
- 801-110598
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of May 5, 2026
View full firm profileOther advisors at North Capital
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Scott Michael Sams has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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