Jeffrey R. Spindler
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.
Jeffrey Ray Spindler, who also goes by Jeffrey Spindler Spindler, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 2006. Jeffrey had worked at 6 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2014 - June 3, 2014
GLOBAL VIEW CAPITAL MANAGEMENT LLC
November 5, 2010 - December 31, 2013
THE STRATEGIC FINANCIAL ALLIANCE, INC.
November 5, 2010 - December 31, 2013
THE STRATEGIC FINANCIAL ALLIANCE, INC.
January 11, 2008 - November 1, 2010
INVESTMENT ADVISORS INTERNATIONAL, INC.
November 28, 2007 - November 1, 2010
WORLD GROUP SECURITIES, INC.
July 10, 2006 - October 30, 2007
NEW ENGLAND SECURITIES
June 12, 2006 - June 30, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
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.
