Samuel Saleh

SAVVY

Laguna Beach, CA

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CRD#: 7246417

Professional summary

Samuel Saleh is a registered financial advisor currently at SAVVY located in Laguna Beach, California.

Samuel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2020. Samuel has worked at 3 firms and has passed the Series 66, Series 63, Series 7TO, Series 6TO and SIE 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.

[Pontem General Trading LLC; Lighting and furniture trading; Dubai, UAE; start 02/2018; Partner: 5 hours/month, 0 during securities trading hours; non-investment related]

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Samuel Saleh'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

December 4, 2024 - Present

SAVVY

RIA

CRD#: 318493

Laguna Beach, CA

Past

September 9, 2022 - November 18, 2024

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

CORONA DEL MAR, CA

Past

July 1, 2022 - November 18, 2024

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

CORONA DEL MAR, CA

Past

October 2, 2020 - July 6, 2022

NYLIFE SECURITIES LLC

CRD#: 5167

GLENDALE, 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".

SAVVY

CRD#: 318493 / SEC#: 801-123656

RIA

Registered Investment Advisory firm - (4/11/2022 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

California
(12/5/2024)

IAR

Texas
(12/4/2024)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/26/2022

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/16/2020

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 7/29/2022

General Securities Representative Examination

General Industry/Product Exam

Series 6TO

Date: 10/2/2020

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 5/30/2020

Securities Industry Essentials Examination

Current Firm

SAVVY

CRD#: 318493 / SEC#: 801-123656

RIA

Registered Investment Advisory firm - (4/11/2022 Approved)

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Contact information

Main Address

111 West 33rd Street Unit 1410, New York, NY 10001

Mailing Address

Phone number

(833) 745-6789

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (38 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SAVVY ADV PART 2 (8/19/2025)

Regulatory assets under management

Total Number of Accounts	3,776
AUM (Assets Under Management)	$ 1,295,318,161

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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Firm Stability Insights

Samuel Saleh

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

NYLIFE SECURITIES LLC

Primary Firm SEC Registration

SAVVY

State Registrations and Notice Filings

Exams

Series 66

Date: 8/26/2022

Series 63

Date: 10/16/2020

Series 7TO

Date: 7/29/2022

Series 6TO

Date: 10/2/2020

SIE

Date: 5/30/2020

Current Firm

SAVVY

Contact information

SEC notice filing (38 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SAVVY

TRUST BUT VERIFY

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