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Susan Lee Powell

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Other Names: Susan Lee Efflandt, Susan Lee Lewis, Susan Lee Sura
Additional Firm:
Type: SEC and FINRA Registered

Susan Powell is a financial professional at Purshe Kaplan Sterling Investments, a broker-dealer with over 1,200 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 11 years and is subject to SEC and FINRA oversight.

Advisor Timeline

No timeline events available.
Purshe Kaplan Sterling Investments 1 year, 2 months Jan 2014 - Present
Global View Capital Management, Ltd 1 year, 2 months Jan 2014 - Present
Global View Capital Insurance 4 years, 5 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
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

Susan Lee Powell has not answered any questions on Financial Q&A.

Top Guides

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*Answers and guides are provided without compensation.

Firm Client Types

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

License Status

No Disclosures Found

No Disclosures Found

As of Date
*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

Types of Compensation Arrangements

  • Percentage of Assets
  • Fixed Fees