SS
Sam A. Spaulding
GWN SECURITIES
PARKLAND, FL
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CRD#: 6239400
SS
Sam Apoian SpauldingGWN SECURITIES
Professional summary
Sam Apoian Spaulding is a registered financial advisor currently at GWN SECURITIES INC. located in Parkland, Florida.
Sam is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Sam has worked at 2 firms and has passed the Series 63, Series 65, SIE and Series 6 exams.
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.
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 friend�??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 agent�s 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
CRS (Client Relationship Summary) - RIA
Click below to view Sam Apoian Spaulding's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Sam Apoian Spaulding's 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®
NoneExperience
Current
January 4, 2023 - Present
GWN SECURITIES INC.
RIA
BD
CRD#: 128929
PARKLAND, FL
Current
January 3, 2023 - Present
GWN SECURITIES INC.
Office #1: 11440 North Jog Road, Palm Beach Gardens, FL 33418-3764Office #2: 11440 North Jog Road, Palm Beach Gardens, FL 33418-3764RIA
BD
CRD#: 128929
PALM BEACH GARDENS, FL
Past
July 13, 2017 - December 31, 2022
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
CORAL SPRINGS, FL
Past
December 23, 2013 - December 31, 2022
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
CORAL SPRINGS, FL
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".
GS
GWN SECURITIES INC.
GLOBAL WORLD NETWORK SECURITIES | GWN SECURITIES INC. | GLOBAL WORLD NETWORK SECURITIES INC.
CRD#: 128929 / SEC#: 801-62547, 8-66185
RIA
Registered Investment Advisory firm - SEC (1/2/2004 Approved)Wyoming
Registered Investment Advisory firm - SEC (6/30/2020 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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.RR
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
RR
Florida(1/3/2023)
IAR
Florida(1/4/2023)
RR
Georgia(1/3/2023)
RR
Illinois(1/3/2023)
RR
Indiana(6/17/2026)
RR
New Jersey(8/18/2023)
RR
North Carolina(7/19/2024)
RR
South Carolina(1/10/2025)
Exams
What does exam status mean?
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 6
Passed: 12/23/2013
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA
Current Firm
GS
GWN SECURITIES INC.
GLOBAL WORLD NETWORK SECURITIES | GWN SECURITIES INC. | GLOBAL WORLD NETWORK SECURITIES INC.
CRD#: 128929 / SEC#: 801-62547, 8-66185
RIA
Registered Investment Advisory firm - SEC (1/2/2004 Approved)Wyoming
Registered Investment Advisory firm - SEC (6/30/2020 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information
Main Address
11440 North Jog Road, Palm Beach Gardens, FL 33418-3764
Mailing Address
11440 North Jog Road, Palm Beach Gardens, FL 33418-3764
Phone number
(561) 472-2700
Established
Florida since 05/12/1999
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
707
SEC notice filing (52 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WORLD INVESTMENT NETWORK | OWNER | |
| BORNHEIMER, LAURA JEANETTE | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER/ROSFP | 1769643 |
| CORBIN, BRAD JEFFREY | SENIOR VICE PRESIDENT OF BUSINESS DEVELOPMENT AND MARKETING | 1754065 |
| NEITZEL, CARL ALEXANDER | COO | 3044454 |
| RITTMAN, BARRY RICHARD | CFO FINOP PFO VP | 1997994 |
| WALSH, DENIS STEPHEN | CEO/EXEC DIRECTOR/ MUNICIPAL PRINCIPAL, PRESIDENT | 1124278 |
| WALSH, MARY THERESE | SECRETARY | 2829444 |
Regulatory assets under management
| Total Number of Accounts | 66,025 |
| AUM (Assets Under Management) | $ 4,753,625,856 |
Disclosures
| Regulatory Event | 2 |
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.
