SP
Sam Pieh
AMERICAN INDEPENDENT SECURITIES GROUP
Lake Oswego, OR
Some features on this profile are disabled
CRD#: 1321892
SP
Professional summary
Sam Pieh, who also goes by Same Pieh, is a registered financial advisor currently at AMERICAN INDEPENDENT SECURITIES GROUP, LLC located in Lake Oswego, Oregon.
Sam is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Sam has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Same Pieh
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. I AM THE OWNER FOR HUNAN PEARL CUISINE LLC, EFFECTIVE 8/16/22, Chinese Restaurant with dine in and take out service. THIS BUSINESS IS LOCATED AT 15160 SW BANGY RD., LAKE OSWEGO, OR 97035. I DEVOTE APPROXIMATELY 20 HOURS PER WEEK TO THIS BUSINESS ACTIVITY, NONE DURING TRADING HOURS. 2. Fixed Insurance Sales, compensated by commissions, not investment related. less than 10% of time / AISG
CRS (Client Relationship Summary) - RIA
Click below to view Sam Pieh's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Sam Pieh's 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®
NoneExperience
Current
July 29, 2015 - Present
AMERICAN INDEPENDENT SECURITIES GROUP, LLC
RIA
BD
CRD#: 135288
Lake Oswego, OR
Current
July 29, 2015 - Present
AMERICAN INDEPENDENT SECURITIES GROUP, LLC
RIA
BD
CRD#: 135288
Lake Oswego, OR
Past
April 11, 2012 - March 8, 2018
JHS CAPITAL ADVISORS, LLC
RIA
CRD#: 112097
LAKE OSWEGO, OR
Past
April 11, 2012 - July 29, 2015
JHS CAPITAL ADVISORS, LLC
BD
CRD#: 112097
PORTLAND, OR
Past
October 24, 2002 - April 11, 2012
PAULSON INVESTMENT COMPANY LLC
RIA
CRD#: 5670
PORTLAND, OR
Past
June 6, 2002 - April 11, 2012
PAULSON INVESTMENT COMPANY LLC
BD
CRD#: 5670
PORTLAND, OR
Past
December 17, 1998 - June 14, 2002
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
March 2, 1998 - December 10, 1998
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
NEW YORK, NY
Past
October 6, 1995 - March 2, 1998
DAIN RAUSCHER INCORPORATED
BD
CRD#: 7600
Past
July 16, 1990 - October 11, 1995
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
February 22, 1988 - June 21, 1990
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
February 8, 1985 - March 11, 1985
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
Past
February 8, 1985 - March 8, 1988
KIDDER, PEABODY & CO. INCORPORATED
BD
CRD#: 7613
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".
AI
AMERICAN INDEPENDENT SECURITIES GROUP, LLC
AMERICAN INDEPENDENT SECURITIES GROUP, LLC
CRD#: 135288 / SEC#: 801-69138, 8-66905
RIA
Registered Investment Advisory firm - SEC (5/27/2008 Approved)Arizona
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)California
Registered Investment Advisory firm - SEC (6/4/2008 Terminated)Colorado
Registered Investment Advisory firm - SEC (7/3/2008 Terminated)District of Columbia
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Florida
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Georgia
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Idaho
Registered Investment Advisory firm - SEC (6/11/2008 Terminated)Indiana
Registered Investment Advisory firm - SEC (6/5/2008 Terminated)Kentucky
Registered Investment Advisory firm - SEC (6/9/2008 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (6/16/2008 Terminated)Montana
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Nevada
Registered Investment Advisory firm - SEC (7/8/2008 Terminated)New Mexico
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)North Dakota
Registered Investment Advisory firm - SEC (6/9/2008 Terminated)Ohio
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Oregon
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Texas
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Washington
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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.RR
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
RR
California(7/29/2015)
RR
Colorado(7/29/2015)
RR
Nevada(4/7/2021)
RR
New York(7/29/2015)
RR
Oregon(7/29/2015)
IAR
Oregon(7/29/2015)
RR
Texas(7/27/2024)
RR
Utah(12/12/2017)
RR
Washington(7/30/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
AI
AMERICAN INDEPENDENT SECURITIES GROUP, LLC
AMERICAN INDEPENDENT SECURITIES GROUP, LLC
CRD#: 135288 / SEC#: 801-69138, 8-66905
RIA
Registered Investment Advisory firm - SEC (5/27/2008 Approved)Arizona
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)California
Registered Investment Advisory firm - SEC (6/4/2008 Terminated)Colorado
Registered Investment Advisory firm - SEC (7/3/2008 Terminated)District of Columbia
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Florida
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Georgia
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Idaho
Registered Investment Advisory firm - SEC (6/11/2008 Terminated)Indiana
Registered Investment Advisory firm - SEC (6/5/2008 Terminated)Kentucky
Registered Investment Advisory firm - SEC (6/9/2008 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (6/16/2008 Terminated)Montana
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Nevada
Registered Investment Advisory firm - SEC (7/8/2008 Terminated)New Mexico
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)North Dakota
Registered Investment Advisory firm - SEC (6/9/2008 Terminated)Ohio
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Oregon
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Texas
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Washington
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
664 S Rivershore Lane Suite 150, Eagle, ID 83616
Mailing Address
Po Box 579, Eagle, ID 83616
Phone number
(208) 489-3131
Established
Idaho since 12/30/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
34
SEC notice filing (49 States and Territories)
FINRA licenses (50 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 2,987 |
| AUM (Assets Under Management) | $ 604,888,609 |
Disclosures
| Regulatory Event | 1 |
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.
