Samuel W. Gamble

SAOS CAPITAL

MOUNT PLEASANT, SC 29464

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CRD#: 5295335

Professional summary

Samuel Wayne Gamble is a registered financial advisor currently at SAOS CAPITAL, LLC located in Mount Pleasant, South Carolina.

Samuel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Samuel has worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 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.

RENTAL PROPERTY - MT. PLEASANT, SC 29464; RENTAL CONDO Manager; SCH Investments, LLC; Investment Related: Yes; 410 Mill St Suite 107 Mount Pleasant SC 29464 US; Responsibilities Duties: Investment Advisor ; Start date with business: 2022-04-20; Hours per month devoted to business during trading hours: 2; Hours per month devoted to business outside trading hours: 4; Percentage of total yearly compensation expected to be derived from the business: 0

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Samuel Wayne Gamble'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

November 27, 2012 - Present

SAOS CAPITAL, LLC

Office #1: 410 Mill St Suite 107, Mount Pleasant, SC 29464

RIA

CRD#: 159515

MOUNT PLEASANT, SC

Past

October 15, 2014 - March 29, 2019

KOVACK SECURITIES INC.

CRD#: 44848

MT PLEASANT, SC

Past

January 24, 2012 - October 15, 2014

RESOURCE HORIZONS GROUP LLC

CRD#: 104368

MT PLEASANT, SC

Past

April 19, 2010 - February 3, 2012

LPL FINANCIAL LLC

RIA

CRD#: 6413

MT PLEASANT, SC

Past

November 15, 2007 - February 3, 2012

LPL FINANCIAL LLC

CRD#: 6413

MT PLEASANT, SC

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".

SAOS CAPITAL, LLC

CRD#: 159515 / SEC#: 801-72927

RIA

Registered Investment Advisory firm - (1/4/2012 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

South Carolina
(11/27/2012)

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: 4/13/2010

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/24/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/14/2007

General Securities Representative Examination

Current Firm

SAOS CAPITAL, LLC

CRD#: 159515 / SEC#: 801-72927

RIA

Registered Investment Advisory firm - (1/4/2012 Approved)

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Contact information

Main Address

410 Mill St Suite 107, Mount Pleasant, SC 29464

Mailing Address

Phone number

(843) 388-9925

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WRAP FEE BROCHURE (2/25/2025)

SAOS DISCLOSURE BROCHURE (2/25/2025)

Regulatory assets under management

Total Number of Accounts	1,394
AUM (Assets Under Management)	$ 207,724,783

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 W. Gamble

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

KOVACK SECURITIES INC.

RESOURCE HORIZONS GROUP LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

Primary Firm SEC Registration

SAOS CAPITAL, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/13/2010

Series 63

Date: 1/24/2008

SIE

Date: 10/1/2018

Series 7

Date: 11/14/2007

Current Firm

SAOS CAPITAL, LLC

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SAOS CAPITAL, LLC

TRUST BUT VERIFY

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