Alex R. Sheppard
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.
Alex Ray Sheppard, who also goes by Alex R. Sheppard, Alex Sheppard, was a registered financial professional .
Alex is a previously registered financial professional and started their career in finance in 2005. Alex had worked at 4 firms and has passed the Series 65, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 29, 2018 - September 29, 2020
GLOBAL VIEW CAPITAL MANAGEMENT LLC
January 6, 2012 - August 27, 2018
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 6, 2012 - August 27, 2018
TRANSAMERICA FINANCIAL ADVISORS, LLC
July 28, 2011 - January 6, 2012
INVESTMENT ADVISORS INTERNATIONAL, INC.
October 4, 2005 - January 6, 2012
WORLD GROUP SECURITIES, 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
Exams
Current Firm
GLOBAL VIEW CAPITAL MANAGEMENT LLC
CRD#: 158292 / SEC#: 801-72887
Contact information
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
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.
