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Sam Pieh

American Independent Securities Group, LLC
41 Years of Experience
Lake Oswego, OR
10 DisclosuresBrokerSells Insurance
View SEC Summary
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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 is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Estate Planning, Investment Management, Retirement Planning, Tax Planning. Their firm serves 4,385 clients with $990M in assets under management.

American Independent Securities Group, LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
47 advisors
Number of Clients
4,385 clients
Average Client Portfolio
$225K average
Assets Under Management
$986.3M

Fee Structure

Minimum Investment:$2.5K
Planning is included in investment management
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

Annual fees generally range from 0.75% to 2.5% based on total assets, investment style, and program platform. Fees are negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

Lake Oswego, OR

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History

Regulatory History (10)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
April 2017
Settled
Investigation
August 2005
Customer Dispute
September 2002
Settled
Customer Dispute
July 2002
Settled
Employment Separation After Allegations
May 2002
Customer Dispute
May 2002
Closed-No Action
Regulatory
January 2002
Final
Customer Dispute
November 2001
Settled
Employment Separation After Allegations
December 1998
Customer Dispute
September 1998
Settled
View Full SEC ReportHow to Read Disclosures
Other 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
July 2015 - Present · 11 yrs 3 mos
American Independent Securities Group, LLCBroker
July 2015 - Present · 11 yrs 3 mos
Previous Registrations
Jhs Capital Advisors, LLC
April 2012 - March 2018 · 5 yrs 11 mos
Jhs Capital Advisors, LLCBroker
April 2012 - July 2015 · 3 yrs 3 mos
Paulson Investment Company, INC.
October 2002 - April 2012 · 9 yrs 6 mos
Paulson Investment Company, INC.Broker
June 2002 - April 2012 · 9 yrs 10 mos
First Union Securities, INC.Broker
December 1998 - June 2002 · 3 yrs 6 mos
Dain Rauscher IncorporatedBroker
March 1998 - December 1998 · 9 mos
Dain Rauscher IncorporatedBroker
October 1995 - March 1998 · 2 yrs 5 mos
Painewebber IncorporatedBroker
July 1990 - October 1995 · 5 yrs 3 mos
Prudential-Bache Securities INC.Broker
February 1988 - June 1990 · 2 yrs 4 mos
Kidder, Peabody & CO. IncorporatedBroker
February 1985 - March 1988 · 3 yrs 1 mo
The Equitable Life Assurance Society of the United StatesBroker
February 1985 - March 1985 · 1 mo
State Registrations8 states
CACONVNYORTXUTWA
AdvisorBrokerBoth

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.

Exams
No exam information available for this advisor.
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