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Samuels Financial Services
SAMUELS FINANCIAL SERVICES, INC. is a state-registered investment adviser in YOUNGSTOWN, OH. The firm manages $34 million in assets, $9 million on a...
Overview
SAMUELS FINANCIAL SERVICES, INC. is a state-registered investment adviser in YOUNGSTOWN, OH. The firm manages $34 million in assets, $9 million on a discretionary basis. It has 2 employees and 1 investment adviser.
General information
Firm type
Asset Manager
Location
Region
North America
Country
United States
Frequently asked questions
Is Samuels Financial Services a registered broker-dealer?
Public records indicate that entities named Samuels Financial Services have historically operated with broker-dealer registrations. Broker-dealer status imposes FINRA oversight and SEC registration, requiring the firm to maintain specific net capital levels and transaction reporting. Allocators should verify current registration through FINRA BrokerCheck before engagement.
What regulatory disclosures are available for Samuels Financial Services?
Broker-dealers must file Form BD with the SEC and maintain disclosures through FINRA's BrokerCheck system. These filings include ownership structure, regulatory actions, and branch office locations. Allocators should consult BrokerCheck directly for the firm's current registration status, disclosures, and any disciplinary history before transacting.
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