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N14 W23833 Stone Ridge Dr - Suite 350, Waukesha, WI 53188 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WI | RA | APPROVED | 2026-01-06 |
Branch Locations
N14 W23833 Stone Ridge Dr - Suite 350, Waukesha, WI 53188 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Global View Capital Management, Llc | Waukesha | WI | 12/2013 | Present |
| Global View Capital Insurance Services, Llc | Waukesha | WI | 11/2010 | Present |
| Purshe Kaplan Sterling Investments | Albany | NY | 12/2015 | Present |
| Global View Capital Advisors | Waukesha | WI | 01/2014 | Present |
1.GLOBAL VIEW CAPITAL MANAGEMENT, LLC; YES-INVESTMENT RELATED; N14W23833 STONE RIDGE DRIVE, SUITE 350, WAUKESHA, WI 53188; INVESTMENT ADVISER REPRESENTATIVE; STARTED: JANUARY 2014; APPROX 10-20 OF HOURS PER MONTH / APPROX 2-5 HOURS PER MONTH DURING SECURITIES TRADING HOURS; MARKETING, EDUCATION AND SALES OF ADVISORY PRODUCTS/SERVICES; CHIEF OPERATIONS OFFICER, MANAGE THE REGISTRATION DEPARTMENT FOR GVC MANAGEMENT, PROCESS NEW IAR INITIAL U-4'S, AMEND U-4'S AND PROCESS BOTH PARTIAL AND FULL TERMINATION U-5'S FOR GVC MANAGEMENT, LTD.; MANAGE AND COORDINATE THE ON-BOARDING PROCESS FOR NEW IAR'S. 2.GLOBAL VIEW CAPITAL ADVISORS, LLC; YES-INVESTMENT RELATED; N14 W23833 STONE RIDGE DRIVE, SUITE 350, WAUKESHA, WI 53188; CHIEF OPERATIONS OFFICER, START 01/2014. 190-210 HR/MONTH; 170-180 HR/MONTH DURING TRADING HOURS. MANAGE AND SUPERVISE DAILY OPERATIONS, RECEPTIONIST, COMPLIANCE DEPARTMENT SUPPORT STAFF, APPROVE PAYMENT FOR OFFICE EXPENDITURES OF GENERAL OFFICE SUPPLIES, NEGOTIATE CONTRACTS FOR COMMUNICATION SERVICES AND OFFICE EQUIPMENT. 3.GLOBAL VIEW CAPITAL INSURANCE SERVICES, LLC; YES-INVESTMENT RELATED; ADDRESS: N14W23833 STONE RIDGE DRIVE, SUITE 350, WAUKESHA, WI 53188; NATURE OF THE BUSINESS: INSURANCE AGENCY; POSITION: INSURANCE AGENT; START DATE: NOVEMBER 2010 / APPROX # OF HOURS PER MONTH: 5-10 / APPROX # OF HOURS PER MONTH DURING SECURITIES TRADING HOURS: 1-2 / DUTIES: MARKETING, EDUCATION AND SALES OF FIXED INSURANCE PRODUCTS FOR MULTIPLE PROVIDER COMPANIES TO PROSPECTIVE CLIENTS AND EXISTING CLIENTS WITH FOCUS ON SALE OF LIFE, LONG TERM CARE AND DISABILITY INSURANCE PRODUCTS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2011-06-29 |
| S63 | Uniform Securities Agent State Law Examination | 1998-05-19 |
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