RS
Rachel E. Sams
GRADIENT SECURITIES
Ocala, FL 34471
Some features on this profile are disabled
CRD#: 6854917
RS
Professional summary
Rachel Emily Sams, who also goes by Rachel Emily Mangum, Rachel Mangum, is a registered financial advisor currently at GRADIENT SECURITIES, LLC located in Ocala, Florida.
Rachel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Rachel has worked at 3 firms and has passed the Series 66, Series 63, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rachel Emily Mangum | Rachel Mangum
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. CENTRAL FLORIDA WEALTH MANAGEMENT, INC; INV RELATED; 1740 SE 18TH STREET, SUITE 1301, OCALA, FL 34471; INSURANCE; INSURANCE AGENT; START 6/2023; 40 HOURS PER MONTH; 4 HOURS DURING SECURITIES TRADING HOURS; SALES OF INSURANCE AND DBA NAME USED FOR SECURITIES, ADVISORY AND INSURANCE BUSINESS. 2. OUR HEARTS ALIGN, INC; NOT INV RELATED; 179 NE 51ST STREET, OCALA, FL 34479; PREGNANCY LOSS AWARENESS SUPPORT GROUP 501C(3); BOARD MEMBER; START 01/2018; 4 HOURS PER MONTH; NONE OF WHICH ARE DURING SECURITIES TRADING HOURS; VOLUNTEERS TIME FOR SERVICE PROJECTS. GIVES INPUT ON HOW THE BUSINESS CAN ACQURE NEW DONORS AND VOLUNTEERS FOR AWARENESS OF THIS FOUNDATION. PARTICIPATE IN ACTIVITIES SUCH AS 5K'S. TEA PARTIES, FUND RAISING EVENTS FOR THE BUSINESS. 3. MANGUM WEALTH MANAGEMENT, LLC; NOT INV RELATED; 6358 SW 155TH PL, OCALA, FL 34473; LLC FOR TAX PURPOSES FOR INSURANCE BUSINESS ONLY; MANAGING MEMBER; START 7/2019; 4 HOURS PER MONTH; 0 HOURS DURING SECURITIES TRADING HOURS; LLC FOR TAX PURPOSES FOR INSURANCE BUSINESS ONLY. 4. BUSINESS NETWORKING INTERNATIONAL (BNI); NOT INV RELATED; WEST CENTRAL FLORIDA; MEMBER/EDUCATIONAL COORDINATOR; START 10/2024; 6 HOURS PER MONTH; 0 HOURS DURING SECURITIES TRADING HOURS; MEET WEEKLY TO NETWORK & EDUCATE OTHERS. 5. ESTATE PLANNING COUNCIL; NOT INV RELATED; WEST CENTRAL FLORIDA; MEMBER; START 2/2025; 1 HOUR PER MONTH; 0 HOURS DURING SECURITIES TRADING HOURS; PARTICIPATES IN NETWORKING GROUP. 6. HC4 - HENANDO COUNTY CONTINUITY OF CARE COUNCIL, INC; NOT INV RELATED; WEST CENTRAL FLORIDA; MEMBER; START 7/2025; 3 HOURS PER MONTH; 0 HOURS DURING SECURITIES TRADING HOURS; PARTICIPATES IN NETWORKING GROUP. 7. OFF THE RECORD; NOT INV RELATED; WEST CENTRAL FLORIDA; MEMBER; START 7/2025; 1 HOUR PER MONTH; 0 HOURS DURING SECURITIES TRADING HOURS; PARTICIPATES IN NETWORKING GROUP.
CRS (Client Relationship Summary) - RIA
Click below to view Rachel Emily Sams's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Rachel Emily Sams'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
August 11, 2023 - Present
GRADIENT SECURITIES, LLC
Office #1: 1740 Se 18th Street Suite 1301, Ocala, FL 34471RIA
BD
CRD#: 127701
Ocala, FL
Current
August 10, 2023 - Present
GRADIENT SECURITIES, LLC
Office #1: 1740 Se 18th Street Suite 1301, Ocala, FL 34471RIA
BD
CRD#: 127701
Ocala, FL
Past
December 6, 2022 - February 15, 2023
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
CRD#: 18387
Ocala, FL
Past
April 29, 2019 - February 15, 2023
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
Ocala, FL
Past
October 30, 2018 - March 8, 2019
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
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
GRADIENT SECURITIES, LLC
GRADIENT SECURITIES, LLC | SYM CAPITAL SECURITIES, LLC | GRADIENT WEALTH MANAGEMENT
CRD#: 127701 / SEC#: 801-80807, 8-66032
RIA
Registered Investment Advisory firm - SEC (1/8/2015 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City 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(8/11/2023)
IAR
Florida(8/11/2023)
RR
Georgia(8/14/2023)
IAR
Georgia(8/14/2023)
IAR
Louisiana(8/11/2023)
IAR
Minnesota(8/15/2023)
RR
Mississippi(12/2/2024)
IAR
Mississippi(12/3/2024)
IAR
New York(8/11/2023)
RR
New York(8/12/2023)
RR
South Carolina(8/14/2023)
IAR
South Carolina(8/14/2023)
RR
Wyoming(8/14/2023)
IAR
Wyoming(8/14/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 10/30/2018
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
GS
GRADIENT SECURITIES, LLC
GRADIENT SECURITIES, LLC | SYM CAPITAL SECURITIES, LLC | GRADIENT WEALTH MANAGEMENT
CRD#: 127701 / SEC#: 801-80807, 8-66032
RIA
Registered Investment Advisory firm - SEC (1/8/2015 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
4105 Lexington Avenue Suite 380, Arden Hills, MN 55126
Mailing Address
4105 Lexington Avenue Suite 380, Arden Hills, MN 55126
Phone number
(866) 991-1539
Established
Delaware since 04/09/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
62
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 7,322 |
| AUM (Assets Under Management) | $ 591,069,287 |
Disclosures
| Regulatory Event | 1 |
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.
