Sam A. Parail

THE FIDUCIARY ALLIANCE | Financial Advisor

SEAHURST, WA 98062

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CRD#: 4562948

Professional summary

Sam A Parail, who also goes by Sam Abraham Parail, is a registered financial advisor currently at THE FIDUCIARY ALLIANCE located in Seahurst, Washington.

Sam is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Sam has worked at 9 firms and has passed the Series 63, Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Sam Abraham Parail

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) DOING BUSINESS AS GUARD LEGACY; INVESTMENT RELATED; OWNER; KIRKLAND, WA; UP TO 4 HOURS PER WEEK DURING MARKET HOURS. HOLD WASHINGTON STATE INSURANCE LICENSE AUTHORIZED TO SELL LIFE, DISABILITY, VARIABLE LIFE, AND VARIABLE ANNUITIES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sam A Parail'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

November 6, 2024 - Present

THE FIDUCIARY ALLIANCE

Office #1: 2116 Sw 152nd St Suite 838, Seahurst, WA 98062

RIA

CRD#: 284924

SEAHURST, WA

Past

November 4, 2020 - August 1, 2024

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

SEATTLE, WA

Past

November 4, 2020 - August 1, 2024

KEY INVESTMENT SERVICES LLC

RIA

CRD#: 136300

KIRKLAND, WA

Past

March 16, 2006 - May 16, 2008

KEY INVESTMENT SERVICES LLC

CRD#: 136300

KIRKLAND, WA

Past

March 12, 2003 - March 23, 2006

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

SEATTLE, WA

Past

March 12, 2003 - March 23, 2006

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

March 12, 2003 - March 23, 2006

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

November 7, 2002 - February 12, 2003

NEW ENGLAND SECURITIES

RIA

CRD#: 615

BELLEVUE, WA

Past

September 25, 2002 - February 12, 2003

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

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

Washington
(11/6/2024)

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

Series 63

Date: 11/16/2020

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 9/12/2002

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: 9/24/2002

General Securities 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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Sam A. Parail

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sam A Parail's CRS (Customer Relationship Summary).

Certified licenses

Experience

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

RONALD BLUE & CO., LLC

KEY INVESTMENT SERVICES LLC

KEY INVESTMENT SERVICES LLC

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

NEW ENGLAND SECURITIES

NEW ENGLAND SECURITIES

Primary Firm SEC Registration

THE FIDUCIARY ALLIANCE

State Registrations and Notice Filings

Exams

Series 63

Date: 11/16/2020

Series 66

Date: 9/12/2002

SIE

Date: 10/1/2018

Series 7

Date: 9/24/2002

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

Contact information

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