Steven J. Samuels

BULLDOG INVESTORS, LLP

Westport, CT

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CRD#: 1001046

Professional summary

Steven Jay Samuels is a registered financial advisor currently at BULLDOG INVESTORS, LLP located in Westport, Connecticut.

Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1981. Steven has worked at 14 firms and has passed the Series 63, Series 5, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

Mr. Samuels also works as an independent solicitor for Grey Owl Capital Management, an SEC-registered investment adviser. Grey Owl Capital Management IS "INVESTMENT-RELATED." THE AMOUNT OF TIME MR. SAMUELS DEVOTES TO SUCH BUSINESS, INCLUDING THE NUMBER OF HOURS HE DEVOTES DURING SECURITIES TRADING HOURS, VARIES FROM MONTH TO MONTH.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Jay Samuels's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

May 10, 2018 - Present

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.

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.

CRD#: 36699

SANTA YSABEL, CA

Past

January 18, 1993 - December 31, 1993

REALTA EQUITIES, INC.

CRD#: 23769

WILMINGTON, DE

Past

May 28, 1991 - October 14, 1991

AIMCO SECURITIES COMPANY, INC.

CRD#: 20185

Past

January 19, 1990 - January 25, 1991

AEGIS CAPITAL CORP.

CRD#: 15007

NEW YORK, NY

Past

November 16, 1989 - March 7, 1995

VANGUARD CAPITAL

CRD#: 22081

DEL MAR, CA

Past

January 8, 1986 - November 20, 1989

DRAKE & COMPANY, INC.

CRD#: 16227

NEW YORK, NY

Past

May 22, 1984 - January 14, 1986

SUTRO & CO. INCORPORATED

CRD#: 801

Past

February 4, 1982 - May 9, 1984

MORGAN STANLEY DW INC.

CRD#: 7556

Past

October 14, 1981 - January 18, 1982

AMERICAN WESTERN SECURITIES, INC.

CRD#: 7619

Past

July 29, 1981 - June 8, 1982

M. S. WIEN & CO., INC.

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".

BULLDOG INVESTORS, LLP

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Connecticut
(5/10/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 1/16/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 5

Date: 12/11/1982

Interest Rate Options Examination

General Industry/Product Exam

Series 7

Date: 7/18/1981

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/29/1986

General Securities Principal Examination

Current Firm

BULLDOG INVESTORS, LLP

CRD#: 151585 / SEC#: 801-70596

RIA

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

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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

SEC notice filing (9 States and Territories)

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 Accounts	227
AUM (Assets Under Management)	$ 455,995,108

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Steven J. Samuels

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Jay Samuels's CRS (Customer Relationship Summary).

Certified licenses

Experience

ROUMELL ASSET MANAGEMENT, LLC

SAMUELS CHASE & CO., INC.

GSG CAPITAL ADVISORS, LLC

PACIFICA CAPITAL INVESTMENTS

SAMUELS CHASE & CO., INC.

REALTA EQUITIES, INC.

AIMCO SECURITIES COMPANY, INC.

AEGIS CAPITAL CORP.

VANGUARD CAPITAL

DRAKE & COMPANY, INC.

SUTRO & CO. INCORPORATED

MORGAN STANLEY DW INC.

AMERICAN WESTERN SECURITIES, INC.

M. S. WIEN & CO., INC.

Primary Firm SEC Registration

BULLDOG INVESTORS, LLP

State Registrations and Notice Filings

Exams

Series 63

Date: 1/16/1984

Series 5

Date: 12/11/1982

Series 7

Date: 7/18/1981

Series 24

Date: 4/29/1986

Current Firm

BULLDOG INVESTORS, LLP

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BULLDOG INVESTORS, LLP

TRUST BUT VERIFY

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