AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
SS

Steven J. Samuels

Some features on this profile are disabled
CRD#: 1001046
SS

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Steven Jay Samuels was a registered financial professional .

Steven is a previously registered financial professional and started their career in finance in 1981. Steven had worked at 14 firms and has passed the Series 63, Series 5, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 10, 2018 - December 31, 2025

BULLDOG INVESTORS, LLP

RIA
CRD#: 151585
Westport, CT
Past

October 7, 2009 - November 12, 2012

ROUMELL ASSET MANAGEMENT, LLC

RIA
CRD#: 114057
WESTPORT, CT
Past

May 15, 2006 - December 31, 2007

SAMUELS CHASE & CO., INC.

BD
CRD#: 36699
RAMONA, CA
Past

May 21, 2004 - June 6, 2005

GSG CAPITAL ADVISORS, LLC

RIA
CRD#: 130179
CARLSBAD, CA
Past

May 20, 2003 - May 8, 2018

PACIFICA CAPITAL INVESTMENTS

RIA
CRD#: 125790
WESTPORT, CT
Past

January 3, 1995 - February 15, 2006

SAMUELS CHASE & CO., INC.

BD
CRD#: 36699
SANTA YSABEL, CA
Past

January 18, 1993 - December 31, 1993

REALTA EQUITIES, INC.

BD
CRD#: 23769
WILMINGTON, DE
Past

May 28, 1991 - October 14, 1991

AIMCO SECURITIES COMPANY, INC.

BD
CRD#: 20185
Past

January 19, 1990 - January 25, 1991

AEGIS CAPITAL CORP.

BD
CRD#: 15007
NEW YORK, NY
Past

November 16, 1989 - March 7, 1995

VANGUARD CAPITAL

BD
CRD#: 22081
DEL MAR, CA
Past

January 8, 1986 - November 20, 1989

DRAKE & COMPANY, INC.

BD
CRD#: 16227
NEW YORK, NY
Past

May 22, 1984 - January 14, 1986

SUTRO & CO. INCORPORATED

BD
CRD#: 801
Past

February 4, 1982 - May 9, 1984

MORGAN STANLEY DW INC.

BD
CRD#: 7556
Past

October 14, 1981 - January 18, 1982

AMERICAN WESTERN SECURITIES, INC.

BD
CRD#: 7619
Past

July 29, 1981 - June 8, 1982

M. S. WIEN & CO., INC.

BD
CRD#: 541

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".
BI
BULLDOG INVESTORS, LLP
BROOKLYN CAPITAL MANAGEMENT, LLC | SPAR ADVISORS, LLC | KIMBALL & WINTHROP, LLC (RELYING ADVISER) | KIMBALL & WINTHROP, LLC | KIMBALL & WINTHROP, INC. (RELYING ADVISER) | FULL VALUE SPECIAL SITUATIONS FUND GP, LLC | FULL VALUE ADVISORS, LLC | BULLDOG INVESTORS, LLP | BULLDOG INVESTORS, LLC | BULLDOG INVESTORS

CRD#: 151585 / SEC#: 801-70596

RIA
Registered Investment Advisory firm - (9/23/2009 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 1/16/1984
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 5
Date: 12/11/1982
Interest Rate Options Examination
General Industry/Product Exam
RR
Series 7
Date: 7/18/1981
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/29/1986
General Securities Principal Examination

Current Firm

BI
BULLDOG INVESTORS, LLP
BROOKLYN CAPITAL MANAGEMENT, LLC | SPAR ADVISORS, LLC | KIMBALL & WINTHROP, LLC (RELYING ADVISER) | KIMBALL & WINTHROP, LLC | KIMBALL & WINTHROP, INC. (RELYING ADVISER) | FULL VALUE SPECIAL SITUATIONS FUND GP, LLC | FULL VALUE ADVISORS, LLC | BULLDOG INVESTORS, LLP | BULLDOG INVESTORS, LLC | BULLDOG INVESTORS

CRD#: 151585 / SEC#: 801-70596

RIA
Registered Investment Advisory firm - (9/23/2009 Approved)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
250 Pehle Ave., Suite 708, Saddle Brook, NJ 07663
Mailing Address
Phone number
(201) 556-0092
Established
Firm type
Fiscal year end
# of Employees
6

SEC notice filing (6 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

BULLDOG INVESTORS, LLP BROCHURE MARCH 31, 2025 (3/28/2025)

Regulatory assets under management

Total Number of Accounts227
AUM (Assets Under Management)$ 455,995,108

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.

Company Information

BULLDOG INVESTORS, LLP

CRD#: 151585

TRUST BUT VERIFY

Monitor Steven Samuels

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Guy David Peel
Guy PeelAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Helena, MT
Mark Brown
Mark BrownAdvisorCheck Check Mark
AUSDAL FINANCIAL PARTNERS, INC.
IAR
RR
Estero, FL
Jeffrey Paul Meotti
Jeffrey MeottiAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
MADISON, CT
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.