Sam Apoian Spaulding

Employer firm

Gwn Securities Inc. CRD 128929

$4.75B regulatory AUM 54 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Selection of other advisers
• Market timing

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 09/2013 → Present
  Capital Insurance Agency
  Coral Springs, FL
• 09/2014 → 12/2022
  Voya Financial Advisors
  Coral Springs, FL
• 01/2023 → Present
  Gwn Securities, Inc.
  Palm Beach Gardens, FL

Previous Registrations

• 2017-07-13 → 2022-12-31
  Voya Financial Advisors, Inc.
  Coral Springs, FL
  Tampa, FL
  Tampa, FL

Other Businesses

1.SPAULDING FINANCIAL GROUP POSITION: Registered Rep NATURE: Financial Services. INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 12/22/2022 ADDRESS: 5491 UNIVERSITY DR #103; CORAL SPRINGS; FL; 33067, United States DESCRIPTION: DBA 2.ERC POSITION: Affiliate NATURE: ERC. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 2022-05-01 ADDRESS: 400 SW 1st Ave Fort Lauderdale; FL; 33301, United States DESCRIPTION: Employee Retention Credit ERC Specialists is a firm that specializes in Employee Retention Credits. This is a benefit created through the CARES Act, and applies specifically to companies with W2 employees who were in business during the pandemic. Instead of having a captive salesforce they leverage people with relationships in local communities. I am seeking approval to refer my high-net worth friends to ERC Specialists in the event that ERC could benefit my friendâ??s business. The extent of my involvement is introducing the ERC website where applicable. From there the client completes a simple questionnaire and the ERC specialist team takes over completely to see if they are good fit. 3.CAPITAL INSURANCE AGENCY POSITION: Insurance Agent NATURE: Insurance Sales. INVESTMENT RELATED: Yes NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2013 ADDRESS: 5491 UNIVERSITY DR #103; CORAL SPRINGS; FL; 33067, United States DESCRIPTION: Sell fixed insurance products. 4. NAME OF ENTITY: Cost Segregation Services Incorporated; No; 10211 Siegan Lane Building 1; Baton Rouge; LA; 70810; Being a real estate investor, I recently learned about the benefit of accelerated depreciation. Very few real estate investors understand this as it is a nuance concept in real estate tax law. CSSI is a firm that provides a site analysis report which is a requirement needed for tax preparation for any real estate investor seeking accelerated depreciation. As an agent of CSSI I would earn commission every time a referred real estate investor pays for a completed property study with CSSI. A real estate investor would only pay for the study if there is a substantial benefit. There is no commitment of the real estate investor to actual pay and move forward with the services. In no way will I be providing tax advice, investment advice, or financial planning services. This is correlation with my investment property ownership business. I would be a local representative of CSSI which would allow me to introduce their services and make a commission in an agentâs capacity.; Agent; 5/1/2022; 4; 0; See Above in 2.1.10.| 5. NAME OF ENTITY: SA SPAULDING ENTERPRISES INC; NOT INVESTMENT RELATED; POSITION: OWNER; 400 SW 1ST AVE #603, FORT LAUDERDALE FL 33301; INSURANCE SALES; 160 HOURS PER MONTH, 0 HOURS TRADING; START DATE: 05/19/2015; BUSINESS DISCRIPTION: LLC FOR MY INSURANCE SALES, INDIVIDUAL S-CORP 6. OAKBAY AGENCY Is Not Investment Related, "375 N Stephanie St Unit 20, Henderson, NV, 89014, United States", Insurance Sales, Insurance Advisor, 3/7/2025, 20 hours per month, 20 hours per month during trading hours, Commission Compensation, Fixed Insurance Sales

Exams

• S63 Uniform Securities Agent State Law Examination
  2021-02-16
• S65 Uniform Investment Adviser Law Examination
  2017-07-01