Sam Pieh
Sam Pieh is a registered investment advisor at American Independent Securities Group, LLC, based in Lake Oswego, OR, with 41 years of industry experience. Sam operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Financial Planning & Coaching, High Net Worth, Investment Management, and 2 more. Their firm serves 2,987 clients with $600M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
AISG offers investment advisory services through various platforms, each with its own fee structure. Fees for Charles Schwab and RBC management services generally range from 0.75% to 2.5% of your portfolio annually, but are negotiable. The fee is based on factors like the amount you invest, the scope of the engagement, and the investment style. A minimum of $2,500 of assets under management is required for Charles Schwab Advisory Services and $10,000 for RBC Management Services, though this may be negotiable. Fees are typically deducted directly from your account monthly or quarterly in advance.
Location
Lake Oswego, OR
Get directionsHistory
Regulatory History (10)
Customer Dispute
April 2017Investigation
August 2005Customer Dispute
September 2002Customer Dispute
July 2002Employment Separation After Allegations
May 2002Customer Dispute
May 2002Regulatory
January 2002Customer Dispute
November 2001Employment Separation After Allegations
December 1998Customer Dispute
September 1998Other Business ActivitiesSells Insurance
Sam is the owner of Hunan Pearl Cuisine LLC, a Chinese restaurant, dedicating about 10-20% of their time to this venture. Sam also sells fixed insurance products, earning commissions and spending about 10-20% of their time on this activity.
Employment History
Current Registrations
American Independent Securities Group, LLC
American Independent Securities Group, LLCBroker
Previous Registrations
Jhs Capital Advisors, LLC
Jhs Capital Advisors, LLCBroker
Paulson Investment Company, INC.
Paulson Investment Company, INC.Broker
First Union Securities, INC.Broker
Dain Rauscher IncorporatedBroker
Dain Rauscher IncorporatedBroker
Painewebber IncorporatedBroker
Prudential-Bache Securities INC.Broker
Kidder, Peabody & CO. IncorporatedBroker
The Equitable Life Assurance Society of the United StatesBroker
State Registrations8 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.