DF
Dean M. Fliss
GLOBAL VIEW CAPITAL MANAGEMENT LLC
Waukesha, WI 53188
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CRD#: 1490307
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Professional summary
Dean Michael Fliss is a registered financial advisor currently at GLOBAL VIEW CAPITAL MANAGEMENT LLC located in Waukesha, Wisconsin and PURSHE KAPLAN STERLING INVESTMENTS located in Waukesha, Wisconsin.
Dean is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Dean has worked at 9 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 22, Series 6 and Series 26 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.
1)FLISS ENTERPRISES,OWNER/SOLE PROPRIETOR, 34731 BARTLETT ROAD OCONOMOWOC, WI 53066, CHECKING ACCOUNT FOR BUSINESS EXPENSES, ISSUE AND SIGN CHECKS. 2) WORLD PLANNING ENTERPRISES, N14 W23833 STONE RIDGE DRIVE, SUITE 350 WAUKESHA, WI 53188, PASS THROUGH CHECKING ACCOUNT USED FOR PAYROLL OF OFFICE STAFF. 3) RIDGE CAPITAL VENTURES. INVESTMENT-RELATED. LOCATED AT: N14W23833 STONE RIDGE DR, SUITE 350, WAUKESHA, WI 53188. NATURE: HOLDING COMPANY. POSITION: MEMBER. START: 01/2022. 3 HRS/MONTH; ALL DURING TRADING HOURS. ENTITY USED FOR HOLDING PERSONAL INVESTMENT ASSETS. 4) GLOBAL VIEW CAPITAL PARTNERS, LLC, OWNER/SOLE PROPRIETOR, PRESIDENT, N14W23833 STONE RIDGE DRIVE, SUITE 350 WAUKESHA, WI 53188 HOLDING COMPANY OF GLOBAL VIEW CAPITAL ADVISORS, GLOBAL VIEW CAPITAL MANAGEMENT & GLOBAL VIEW CAPITAL INSURANCE. 5) PKS FINANCIAL; INVESTMENT RELATED 80 STATE ST, ALBANY, NY 12207; FIXED INSURANCE; INSURANCE AGENT; SALES & SERVICE OF FIXED LIFE INSURANCE & ANNUITY CONTRACTS START DATE: 12/3/13 6) GLOBAL VIEW CAPITAL MANAGEMENT, LLC. INVESTMENT-RELATED. AT REGISTERED LOCATION. RIA. OWNER / VICE PRESIDENT / IAR. START: 02/2011. 60 HR/MONTH; ALL DURING TRADING HOURS. OVERSEE DAILY OPERATIONS AND RELATIONSHIPS WITH INVESTMENT MANAGEMENT COMPANIES, ADVISORY FEES EARNED AND PAID OUT TO IARs. 7) GLOBAL VIEW CAPITAL INSURANCE SERVICES, LLC. INESTMENT-RELATED. AT REGISTERED LOCATION. INSURANCE. OWNER / PRESIDENT / INSURANCE AGENT. START: 09/2010. 50 HR/MONTH; ALL DURING TRADING HOURS. OVERSEE DAILY OPERATIONS AND MANAGE APPOINTMENTS WITH PROVIDER COMPANIES, COMMISSIONS EARNED AND PAID OUT TO GVCI INSURANCE AGENTS. 8) GLOBAL VIEW CAPITAL ADVISORS, LLC. INVESTMENT-RELATED. AT REGISTERED LOCATION. FINANCIAL SERVICES (MARKETING). INDEPENDENT CONTRACTOR AND PRESIDENT. START: 02/2011. 160 HR/MONTH; 120 HR/MONTH DURING TRADING HOURS. AGENT-MARKET, EDUCATE AND SELL INSURANCE AND ADVISORY PRODUCTS AND SERVICE CLIENT ACCOUNTS / PRESIDENT-OVERSEE DAILY OPERATIONS AND EXPENDITURES, COACH NEW GVC PEOPLE HOW TO BUILD THEIR BUSINESS. 9) Experior Financial Group, Inc.. Investment Related. Located at 300 Airborne Pkwy, Suite 208, Cheektowaga, NY 14225. Financial Services (Insurance). Insurance Agent. Start: 01/2023. 6 hr/month; 1 hr/month during trading hours. Market, educate and sell insurance life products including fixed and indexed annuities and service client accounts.
CRS (Client Relationship Summary) - RIA
Click below to view Dean Michael Fliss'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 6, 2014 - Present
GLOBAL VIEW CAPITAL MANAGEMENT LLC
Office #1: N14 W23833 Stone Ridge Dr - Suite 350, Waukesha, WI 53188RIA
CRD#: 158292
Waukesha, WI
Current
January 2, 2014 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: N14 W23833 Stone Ridge Dr, Waukesha, WI 53188BD
CRD#: 35747
Waukesha, WI
Past
November 10, 2010 - December 31, 2013
THE STRATEGIC FINANCIAL ALLIANCE, INC.
RIA
CRD#: 126514
WAUKESHA, WI
Past
November 1, 2010 - December 31, 2013
THE STRATEGIC FINANCIAL ALLIANCE, INC.
BD
CRD#: 126514
WAUKESHA, WI
Past
July 10, 2006 - November 2, 2010
INVESTMENT ADVISORS INTERNATIONAL, INC.
RIA
CRD#: 139233
WAUKESHA, WI
Past
July 10, 2002 - August 24, 2006
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
WAUKESHA, WI
Past
June 10, 2002 - November 2, 2010
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
WAUKESHA, WI
Past
April 4, 2002 - June 5, 2002
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
DULUTH, GA
Past
March 24, 1999 - July 15, 2002
WMA INVESTMENT ADVISORS, INC. (WMAIA)
RIA
CRD#: 108450
DULUTH, GA
Past
June 6, 1994 - April 12, 2002
WMA SECURITIES, INC.
BD
CRD#: 32625
DULUTH, GA
Past
February 12, 1992 - June 6, 1994
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
PHILADELPHIA, PA
Past
May 9, 1986 - October 11, 1991
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, GA
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".
GV
GLOBAL VIEW CAPITAL MANAGEMENT LLC
GLOBAL CAPITAL MANAGEMENT, LTD | GLOBAL VIEW CAPITAL MANAGEMENT, LTD | GLOBAL VIEW CAPITAL MANAGEMENT LLC
CRD#: 158292 / SEC#: 801-72887
RIA
Registered Investment Advisory firm - (12/8/2011 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.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
Arizona(7/20/2017)
RR
Arkansas(1/2/2014)
RR
California(1/2/2014)
RR
Colorado(1/2/2014)
RR
Florida(1/2/2014)
RR
Illinois(1/2/2014)
RR
Indiana(1/29/2016)
RR
Iowa(1/2/2014)
RR
Michigan(1/2/2014)
RR
Minnesota(1/2/2014)
RR
Missouri(1/2/2014)
RR
Nevada(1/2/2014)
RR
North Carolina(8/9/2017)
RR
Ohio(1/2/2014)
RR
Oregon(8/21/2017)
RR
Wisconsin(1/2/2014)
IAR
Wisconsin(1/6/2014)
RR
Wyoming(8/28/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
GV
GLOBAL VIEW CAPITAL MANAGEMENT LLC
GLOBAL CAPITAL MANAGEMENT, LTD | GLOBAL VIEW CAPITAL MANAGEMENT, LTD | GLOBAL VIEW CAPITAL MANAGEMENT LLC
CRD#: 158292 / SEC#: 801-72887
RIA
Registered Investment Advisory firm - (12/8/2011 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
N14 W23833 Stone Ridge Dr - Suite 350, Waukesha, WI 53188
Mailing Address
Phone number
(262) 650-1030
Established
Firm type
Fiscal year end
# of Employees
102
SEC notice filing (36 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 7,570 |
| AUM (Assets Under Management) | $ 707,976,833 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
GLOBAL VIEW CAPITAL MANAGEMENT LLC
CRD#: 158292Waukesha, WI 53188TRUST BUT VERIFY
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