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Susan Lee Powell

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Information

Other Names: Susan Lee Efflandt, Susan Lee Lewis, Susan Lee Sura
Firm:
Additional Firm:
Type: Dual Registration
Description

Susan Powell is a financial professional at Purshe Kaplan Sterling Investments, a broker-dealer with 970 registered representatives nationwide. Susan is also registered with Global View Capital Management, Ltd, a $290M RIA based in Waukesha, WI. Susan has held an industry securities registration for 10 years and is subject to SEC and FINRA oversight.

Advisor Timeline

No timeline events available.
Experience
EmployerYearsDates
Purshe Kaplan Sterling Investments 6 months, 4 weeks Jan 2014 - Present
Global View Capital Management, Ltd 6 months, 4 weeks Jan 2014 - Present
Global View Capital Insurance 3 years, 9 months Nov 2010 - Present
The Strategic Financial Alliance 3 years, 1 month Nov 2010 - Dec 2013
Investment Advisors International 4 years, 4 months Jul 2006 - Nov 2010
Innergy Lending 1 year Jun 2006 - Jun 2007
Intersecurities, Inc. 1 year, 11 months Aug 2004 - Jul 2006
City 1st Mortgage 2 years, 7 months Aug 2003 - Mar 2006
World Group Securities, Inc. 7 years, 4 months Jul 2003 - Nov 2010
World Financial Group 7 years, 5 months Jun 2003 - Nov 2010
Exams
ExamSeriesPassed Date
Uniform Investment Adviser Law ExaminationSeries 65 07/23/2004
Investment Company Products/Variable Contracts Principal ExaminationSeries 26 11/07/2003
Uniform Securities Agent State Law ExaminationSeries 63 07/28/2003
Investment Company Products/Variable Contracts Representative ExaminationSeries 6 07/21/2003

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

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Top Guides

Susan Lee Powell has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

Individuals
High Net Worth Individuals
Investment Companies
Other Investment Advisors

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found

As of Date
01/02/2013
04/17/2014
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Fixed Fees