Richard A. Sampley

THE FIDUCIARY ALLIANCE

ATLANTA, GA 30346

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CRD#: 409802

Professional summary

Richard Alan Sampley, CFP®, who also goes by Rick Sampley, is a registered financial advisor currently at THE FIDUCIARY ALLIANCE located in Atlanta, Georgia.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1974. Richard has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 5, PC and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rick Sampley

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 Richard Alan Sampley'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®

CFP^®

Certified Financial Planner

Start date: 1988

Experience

Current

November 13, 2024 - Present

THE FIDUCIARY ALLIANCE

Office #1: 300 Perimeter Center North Suite 300, Atlanta, GA 30346

RIA

CRD#: 284924

ATLANTA, GA

Past

November 3, 2014 - November 8, 2024

BISON WEALTH, LLC

RIA

CRD#: 165931

ATLANTA, GA

Past

February 13, 2013 - November 7, 2014

RAYMOND JAMES & ASSOCIATES, INC.

RIA

CRD#: 705

ATLANTA, GA

Past

February 13, 2013 - November 7, 2014

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

ATLANTA, GA

Past

July 14, 2006 - February 13, 2013

MORGAN KEEGAN & COMPANY, LLC

RIA

CRD#: 4161

ATLANTA, GA

Past

July 7, 2006 - February 13, 2013

MORGAN KEEGAN & COMPANY, LLC

CRD#: 4161

ATLANTA, GA

Past

May 2, 2003 - July 31, 2006

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

ATLANTA, GA

Past

December 5, 1994 - July 31, 2006

UBS FINANCIAL SERVICES INC.

CRD#: 8174

ATLANTA, GA

Past

April 11, 1988 - December 15, 1994

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

February 6, 1974 - May 5, 1988

E. F. HUTTON & COMPANY INC

CRD#: 235

Past

January 22, 1974 - May 15, 1974

DUPONT WALSTON, INCORPORATED

CRD#: 870

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".

THE FIDUCIARY ALLIANCE

CRD#: 284924 / SEC#: 801-108283

RIA

Registered Investment Advisory firm - (8/17/2016 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.

Highlighted states indicate IAR registrations

IAR

Georgia
(11/13/2024)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/30/2003

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/16/1980

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 11/7/2014

Securities Industry Essentials Examination

General Industry/Product Exam

Series 5

Date: 10/26/1981

Interest Rate Options Examination

General Industry/Product Exam

PC

Date: 8/31/1977

AMEX Put and Call Exam

General Industry/Product Exam

Series 1

Date: 1/15/1974

Registered Representative Examination

Current Firm

THE FIDUCIARY ALLIANCE

CRD#: 284924 / SEC#: 801-108283

RIA

Registered Investment Advisory firm - (8/17/2016 Approved)

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Contact information

Main Address

135 S Main St Suite 600, Greenville, SC 29601

Mailing Address

Phone number

(864) 385-7999

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (29 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TFA ADV 2A (5/23/2025)

Regulatory assets under management

Total Number of Accounts	6,842
AUM (Assets Under Management)	$ 1,921,956,974

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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Firm Stability Insights

Richard A. Sampley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Alan Sampley's CRS (Customer Relationship Summary).

Certified licenses

Experience

BISON WEALTH, LLC

RAYMOND JAMES & ASSOCIATES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

MORGAN KEEGAN & COMPANY, LLC

MORGAN KEEGAN & COMPANY, LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MORGAN STANLEY DW INC.

E. F. HUTTON & COMPANY INC

DUPONT WALSTON, INCORPORATED

Primary Firm SEC Registration

THE FIDUCIARY ALLIANCE

State Registrations and Notice Filings

Exams

Series 66

Date: 4/30/2003

Series 63

Date: 6/16/1980

SIE

Date: 11/7/2014

Series 5

Date: 10/26/1981

PC

Date: 8/31/1977

Series 1

Date: 1/15/1974

Current Firm

THE FIDUCIARY ALLIANCE

Contact information

SEC notice filing (29 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

THE FIDUCIARY ALLIANCE

TRUST BUT VERIFY

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