Susan L. Powell

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CRD#: 4677218

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.

Susan Lee Powell, CFP®, who also goes by Susan Lee Efflandt, Susan Lee Lewis, Susan L. Powell, Susan Powell, Susan Lee Sura, was a registered financial professional .

Susan is a previously registered financial professional and started their career in finance in 2003. Susan had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Susan Lee Efflandt | Susan Lee Lewis | Susan L. Powell | Susan Powell | Susan Lee Sura

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] GLOBAL VIEW CAPITAL INSURANCE SERVICES, LLC, AN AFFILIATE OF GLOBAL VIEW CAPITAL ADVISORS, LLC; YES-INVESTMENT RELATED; HEADQUARTERS ADDRESS: N14W23833 STONE RIDGE DRIVE, SUITE 350, WAUKESHA, WI 53188; INSURANCE; POSITION: INSURANCE AGENT; STARTED: NOVEMBER 2010; APPROX. 25 HRS/MONTH; APPROX. 20 HRS/MONTH DURING SECURITIES TRADING HOURS; RESPONSIBILITIES: 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. [2] GLOBAL VIEW CAPITAL ADVISORS, LLC, AN AFFILIATE OF GLOBAL VIEW CAPITAL MANAGEMENT, LLC; YES-INVESTMENT RELATED; HEADQUARTERS ADDRESS: N14W23833 STONE RIDGE DRIVE, SUITE 350, WAUKESHA, WI 53188; NATURE: MARKETING FIRM FOR INSURANCE AND ADVISORY SERVICES; POSITION: INDEPENDENT CONTRACTOR; AFFILIATION DATE: 06-03-2013; APPROX. 150 ADVISORY HRS/MONTH; APPROX. 140 ADVISORY HRS/MONTH DURING SECURITIES TRADING HOURS; RESPONSIBILITIES: MARKETING, EDUCATION AND SALES OF ADVISORY SERVICES AND GVCI INSURANCE SERVICES. GVCI HOURS LISTED SEPARATELY IF APPLICABLE.

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®

CFP^®

Certified Financial Planner

Start date: 2017

Experience

Past

January 2, 2014 - June 30, 2023

GLOBAL VIEW CAPITAL MANAGEMENT LLC

RIA

CRD#: 158292

WAWAUTOSA, WI

Past

January 2, 2014 - June 1, 2015

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

WAUKESHA, WI

Past

November 9, 2010 - December 31, 2013

THE STRATEGIC FINANCIAL ALLIANCE, INC.

RIA

CRD#: 126514

WAUKESHA, WI

Past

November 9, 2010 - December 31, 2013

THE STRATEGIC FINANCIAL ALLIANCE, INC.

CRD#: 126514

WAUKESHA, WI

Past

July 8, 2006 - November 9, 2010

INVESTMENT ADVISORS INTERNATIONAL, INC.

RIA

CRD#: 139233

WAUKESHA, WI

Past

September 13, 2004 - August 23, 2006

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA

CRD#: 16164

WAUKESHA, WI

Past

July 22, 2003 - November 9, 2010

WORLD GROUP SECURITIES, INC.

CRD#: 114473

WAUKESHA, WI

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".

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/23/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/28/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 6/1/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 7/21/2003

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 11/7/2003

Investment Company Products/Variable Contracts Principal Examination

Current Firm

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 (36 States and Territories)

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 Accounts	7,570
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.

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Advisor Monitoring

Firm Stability Insights

Susan L. Powell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

THE STRATEGIC FINANCIAL ALLIANCE, INC.

THE STRATEGIC FINANCIAL ALLIANCE, INC.

INVESTMENT ADVISORS INTERNATIONAL, INC.

TRANSAMERICA FINANCIAL ADVISORS, LLC

WORLD GROUP SECURITIES, INC.

Primary Firm SEC Registration

GLOBAL VIEW CAPITAL MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/23/2004

Series 63

Date: 7/28/2003

SIE

Date: 6/1/2015

Series 6

Date: 7/21/2003

Series 26

Date: 11/7/2003

Current Firm

GLOBAL VIEW CAPITAL MANAGEMENT LLC

Contact information

SEC notice filing (36 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GLOBAL VIEW CAPITAL MANAGEMENT LLC

TRUST BUT VERIFY

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