Articles Tagged with Sam Pieh

Sam PiehPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on May 7, 2018 indicate that Oregon-based American Independent Securities Group broker/adviser Sam Pieh has received several customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Pieh (CRD# 1321892).

Sam Pieh has spent 33 years in the securities industry and has been registered with American Independent Securities Group in Lake Oswego, Oregon since 2015. Previous registrations include JHD Capital Advisors in Portland, Oregon (2012-2015); Paulson Investment Company in Portland, Oregon (2002-2012); First Union Securities in St. Louis, Missouri (1998-2002); Dain Rauscher in New York, New York (1998-1998); Dain Rauscher (1995-1998); Painewebber in Weehawken, New Jersey (1990-1995); Prudential-Bache Securities in New York, New York (1988-1990); Kidder Peabody & company (1985-1988); and the Equitable Life Assurance Society of the United States (1985). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on May 24, 2000; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on May 20, 1985; Series 3 (National Commodity Futures Examination), which he obtained on December 11, 1985; and Series 7 (General Securities Representative Examination), which he obtained on December 15, 1984. He is a registered broker and investment adviser with eight US states: California, Colorado, Iowa, Montana, New York, Oregon, Utah, and Washington.

According to his BrokerCheck report, he has received five customer complaints.

Contact Information