Samuel J. Friday

DORSEY, WRIGHT & ASSOCIATES

Washington, DC 20005

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CRD#: 6823027

Professional summary

Samuel John Friday, who also goes by Sam Friday, is a registered financial advisor currently at DORSEY, WRIGHT & ASSOCIATES, LLC located in Washington, District Of Columbia and NASDAQ CAPITAL MARKETS ADVISORY LLC located in Pasadena, California.

Samuel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Samuel has worked at 5 firms and has passed the Series 63, Series 65, Series 7TO, Series 6TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Sam Friday

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) - RIA

Click below to view Samuel John Friday'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

July 25, 2024 - Present

DORSEY, WRIGHT & ASSOCIATES, LLC

Office #1: 1100 New York Avenue, Washington, DC 20005

RIA

CRD#: 104925

Washington, DC

Current

July 24, 2024 - Present

NASDAQ CAPITAL MARKETS ADVISORY LLC

Office #1: 790 E. Colorado Blvd Suite 505, Pasadena, CA 91101

CRD#: 104295

Pasadena, CA

Past

February 2, 2023 - July 17, 2024

MERIDIAN INVESTMENTS, INC.

CRD#: 13225

BETHESDA, MD

Past

February 12, 2020 - January 23, 2023

CAPITAL CLIENT GROUP, INC.

CRD#: 6247

SAN ANTONIO, TX

Past

January 14, 2020 - January 23, 2023

CAPITAL CLIENT GROUP, INC.

RIA

CRD#: 6247

SAN ANTONIO, TX

Past

September 27, 2017 - December 13, 2019

CANTOR FITZGERALD INVESTMENT ADVISORS

RIA

CRD#: 159296

LA JOLLA, CA

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".

DORSEY, WRIGHT & ASSOCIATES, LLC

DORSEY WRIGHT & ASSOCIATES | NASDAQ DORSEY WRIGHT | DORSEY, WRIGHT & ASSOCIATES, LLC | DORSEY, WRIGHT & ASSOCIATES, INC. | DORSEY WRIGHT MONEY MANAGEMENT

CRD#: 104925 / SEC#: 801-29045

RIA

Registered Investment Advisory firm - (3/6/1987 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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

New York
(7/24/2024)

IAR

Virginia
(7/25/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 2/27/2020

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 9/27/2017

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7TO

Date: 10/2/2020

General Securities Representative Examination

General Industry/Product Exam

Series 6TO

Date: 2/12/2020

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 1/28/2020

Securities Industry Essentials Examination

SRO Registrations

FINRA

Current Firm

DORSEY, WRIGHT & ASSOCIATES, LLC

DORSEY WRIGHT & ASSOCIATES | NASDAQ DORSEY WRIGHT | DORSEY, WRIGHT & ASSOCIATES, LLC | DORSEY, WRIGHT & ASSOCIATES, INC. | DORSEY WRIGHT MONEY MANAGEMENT

CRD#: 104925 / SEC#: 801-29045

RIA

Registered Investment Advisory firm - (3/6/1987 Approved)

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Contact information

Main Address

3300 W Leigh Street, Richmond, VA 23230

Mailing Address

Phone number

(804) 320-8511

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (48 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV 2A (3/19/2025)

Regulatory assets under management

Total Number of Accounts	815
AUM (Assets Under Management)	$ 755,135,613

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.

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Advisor Monitoring

Firm Stability Insights

Samuel J. Friday

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Samuel John Friday's CRS (Customer Relationship Summary).

Certified licenses

Experience

NASDAQ CAPITAL MARKETS ADVISORY LLC

MERIDIAN INVESTMENTS, INC.

CAPITAL CLIENT GROUP, INC.

CAPITAL CLIENT GROUP, INC.

CANTOR FITZGERALD INVESTMENT ADVISORS

Primary Firm SEC Registration

DORSEY, WRIGHT & ASSOCIATES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 2/27/2020

Series 65

Date: 9/27/2017

Series 7TO

Date: 10/2/2020

Series 6TO

Date: 2/12/2020

SIE

Date: 1/28/2020

FINRA

Current Firm

DORSEY, WRIGHT & ASSOCIATES, LLC

Contact information

SEC notice filing (48 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

DORSEY, WRIGHT & ASSOCIATES, LLC

TRUST BUT VERIFY

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