Dean M. Fliss
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
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Dean Michael Fliss's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 6, 2014 - Present
GLOBAL VIEW CAPITAL MANAGEMENT LLC
Office #1: N14 W23833 Stone Ridge Dr - Suite 350, Waukesha, WI 53188January 2, 2014 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: N14 W23833 Stone Ridge Dr, Waukesha, WI 53188November 10, 2010 - December 31, 2013
THE STRATEGIC FINANCIAL ALLIANCE, INC.
November 1, 2010 - December 31, 2013
THE STRATEGIC FINANCIAL ALLIANCE, INC.
July 10, 2006 - November 2, 2010
INVESTMENT ADVISORS INTERNATIONAL, INC.
July 10, 2002 - August 24, 2006
TRANSAMERICA FINANCIAL ADVISORS, LLC
June 10, 2002 - November 2, 2010
WORLD GROUP SECURITIES, INC.
April 4, 2002 - June 5, 2002
WORLD GROUP SECURITIES, INC.
March 24, 1999 - July 15, 2002
WMA INVESTMENT ADVISORS, INC. (WMAIA)
June 6, 1994 - April 12, 2002
WMA SECURITIES, INC.
February 12, 1992 - June 6, 1994
TRANSAMERICA FINANCIAL ADVISORS, LLC
May 9, 1986 - October 11, 1991
PFS INVESTMENTS INC.
Primary Firm SEC Registration
GLOBAL VIEW CAPITAL MANAGEMENT LLC
CRD#: 158292 / SEC#: 801-72887
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/20/2017)
(1/2/2014)
(1/2/2014)
(1/2/2014)
(1/2/2014)
(1/2/2014)
(1/29/2016)
(1/2/2014)
(1/2/2014)
(1/2/2014)
(1/2/2014)
(1/2/2014)
(8/9/2017)
(1/2/2014)
(8/21/2017)
(1/2/2014)
(1/6/2014)
(8/28/2020)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
GLOBAL VIEW CAPITAL MANAGEMENT LLC
CRD#: 158292 / SEC#: 801-72887
Contact information
SEC notice filing (40 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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Company Information
GLOBAL VIEW CAPITAL MANAGEMENT LLC
CRD#: 158292Waukesha, WI 53188TRUST BUT VERIFY
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