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Current Employers
The Fiduciary Alliance

135 S Main St Suite 600, Greenville, SC 29601 • United States

Current Registrations

AuthorityCategoryStatusDate
WA RA APPROVED 2024-11-06
  • WA RA
    APPROVED
    Since 2024-11-06

Branch Locations

2116 Sw 152Nd St Suite 838, Seahurst, WA 98062 • United States

135 S Main St Suite 600, Greenville, SC 29601 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
J. P Morgan Securities Llc Seattle WA 07/2015 11/2020
Merrill Lynch, Pierce, Fenner & Smith Incorporated Seattle WA 11/2020 08/2024
Unemployed Burien WA 08/2024 11/2024
Guard Legacy Seahurst WA 11/2024 Present
Fiduciary Alliance Seahurst WA 11/2024 Present
  • 07/2015 → 11/2020
    J. P Morgan Securities Llc
    Seattle, WA
  • 11/2020 → 08/2024
    Seattle, WA
  • 08/2024 → 11/2024
    Unemployed
    Burien, WA
  • 11/2024 → Present
    Guard Legacy
    Seahurst, WA
  • 11/2024 → Present
    Fiduciary Alliance
    Seahurst, WA
Previous Registrations
Other Businesses

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.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2020-11-16
S66 Uniform Combined State Law Examination 2002-09-12
  • S63 Uniform Securities Agent State Law Examination
    2020-11-16
  • S66 Uniform Combined State Law Examination
    2002-09-12
Other Names
  • Sam Abraham Parail
  • Sam A Parail

View on SEC IAPD

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