Sam Su: Ameriprise Advisor Faces $50 Million Complaint

San Francisco, California financial advisor Sam Su (CRD# 4232029) allegedly recommended an unsuitable investment strategy, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Ameriprise Financial Services.

Mr. Su’s BrokerCheck report discloses two investor complaints. The most recent, filed in April 2025, alleges that as a representative of UBS Financial Services, he did not invest the client’s accounts according to her risk tolerance, concentrated her account “in speculative and volatile investments with 80% in a single stock,” and “engaged in inappropriate behavior and conduct towards the client.” The pending complaint alleges damages of $50 million.

A second investor complaint, also filed in April 2025, allegedly that he executed an unsuitable investment strategy in the client’s account. The pending complaint alleges unspecified damages.

Ameriprise Financial Services’ website includes a profile of Mr. Su in which he describes his approach to providing financial advisory services. “I work with you to determine the service and solutions that fit your financial needs and priorities,” he explains. “Through financial advice, investments and solution recommendations, as well as progress meetings and smart technology, I can help you achieve your financial goals and adjust to whatever life brings.”

According to the Financial Industry Regulatory Authority, Sam Su holds 24 years of securities industry experience. Based in San Francisco, California, he has been registered with Ameriprise Financial Services since February 2025. His past registrations include Morgan Stanley, UBS Financial Services, and Merrill Lynch. His credentials include the passage of four securities industry qualifying exams: the Uniform Combined State Law Examination, or Series 66; the Securities Industry Essentials Examination, or SIE; the Futures Managed Funds Examination, or Series 31; and the General Securities Representative Examination, or Series 7. He is licensed in California, Colorado, the District of Columbia, Idaho, Nevada, New York, Oregon, Texas, and Washington. (Information current as of June 2, 2025.)

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