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DEAN MICHAEL FLISS
CRD#: 1490307
IA
B
GLOBAL VIEW CAPITAL MANAGEMENT LLCCRD#: 158292 N14 W23833 STONE RIDGE DR - SUITE 350
WAUKESHA, WI 53188
WAUKESHA, WI 53188
PURSHE KAPLAN STERLING INVESTMENTSCRD#: 35747 N14 W23833 STONE RIDGE DR
WAUKESHA, WI 53188
WAUKESHA, WI 53188
0
Disclosures
38
Years of Experience
View By:
State Registrations
B
Arizona 7/20/2017
B
Minnesota 1/2/2014
B
Arkansas 1/2/2014
B
Missouri 1/2/2014
B
California 1/2/2014
B
Nevada 1/2/2014
B
Colorado 1/2/2014
B
North Carolina 8/9/2017
B
Florida 1/2/2014
B
Ohio 1/2/2014
B
Illinois 1/2/2014
B
Oregon 8/21/2017
B
Indiana 1/29/2016
B
Wisconsin 1/2/2014
B
Iowa 1/2/2014
IA
Wisconsin 1/6/2014
B
Michigan 1/2/2014
B
Wyoming 8/28/2020
SRO Registrations
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View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 1/6/2014
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Registered with this firm since 1/2/2014
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/10/2010 - 12/31/2013 | WAUKESHA, WI | |
B | 11/01/2010 - 12/31/2013 | WAUKESHA, WI | |
IA | 07/10/2006 - 11/02/2010 | WAUKESHA, WI | |
B | 06/10/2002 - 11/02/2010 | WAUKESHA, WI | |
IA | 07/10/2002 - 08/24/2006 | WAUKESHA, WI | |
IA | 03/24/1999 - 07/15/2002 | DULUTH, GA | |
B | 04/04/2002 - 06/05/2002 | DULUTH, GA | |
B | 06/06/1994 - 04/12/2002 | DULUTH, GA | |
B | 02/12/1992 - 06/06/1994 | PHILADELPHIA, PA | |
B | 05/09/1986 - 10/11/1991 | DULUTH, GA |
WAUKESHA, WI
07/10/2006 - 11/02/2010
DULUTH, GA
03/24/1999 - 07/15/2002
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.