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KD

Kelly Durham

Some features on this profile are disabled
CRD#: 4281888
KD

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Kelly Durham, who also goes by Kelly Durham, Kelly Lumbert, was a registered financial professional .

Kelly is a previously registered financial professional and started their career in finance in 2004. Kelly had worked at 9 firms and has passed the Series 66, Series 79TO, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kelly Durham | Kelly Lumbert

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

April 5, 2025 - January 7, 2026

GLOBAL VIEW CAPITAL MANAGEMENT LLC

RIA
CRD#: 158292
HOUSTON, TX
Past

March 7, 2023 - April 6, 2023

GENEOS WEALTH MANAGEMENT, INC.

RIA
CRD#: 120894
Houston, TX
Past

March 7, 2023 - April 6, 2023

GENEOS WEALTH MANAGEMENT, INC.

BD
CRD#: 120894
Houston, TX
Past

January 6, 2021 - January 14, 2022

RBC CAPITAL MARKETS, LLC

RIA
CRD#: 31194
HOUSTON, TX
Past

January 4, 2021 - January 14, 2022

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
HOUSTON, TX
Past

January 2, 2015 - June 18, 2020

CALTON & ASSOCIATES, INC.

BD
CRD#: 20999
Houston, TX
Past

August 1, 2012 - April 16, 2020

TRI-STAR ADVISORS, INC.

RIA
CRD#: 149760
HOUSTON, TX
Past

August 6, 2009 - December 31, 2014

TRI-STAR FINANCIAL

BD
CRD#: 32458
HOUSTON, TX
Past

December 15, 2008 - August 4, 2009

OSAIC WEALTH, INC.

BD
CRD#: 23131
BELLAIRE, TX
Past

April 2, 2007 - July 25, 2007

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
SACRAMENTO, CA
Past

April 2, 2007 - July 25, 2007

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
SACRAMENTO, CA
Past

September 21, 2004 - April 2, 2007

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
SACRAMENTO, CA
Past

April 7, 2004 - April 2, 2007

MORGAN STANLEY DW INC.

BD
CRD#: 7556
SACRAMENTO, CA

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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/9/2004
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 6/20/2006
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 4/5/2004
General Securities Representative Examination

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)
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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 (40 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

GLOBAL VIEW CAPITAL MANAGEMENT PERSONALIZED ASSET MANAGEMENT WRAP FEE BROCHURE (3/13/2025)
GLOBAL VIEW CAPITAL MANAGEMENT DISCLOSURE BROCHURE (3/13/2025)

Regulatory assets under management

Total Number of Accounts7,570
AUM (Assets Under Management)$ 707,976,833

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.

Company Information

GLOBAL VIEW CAPITAL MANAGEMENT LLC

CRD#: 158292

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