Global View Capital Advisors

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2 Global View Capital Advisors New Associate Information Section 1: Personal Information Last Name: First Name: Middle Name: Male / Female Date of Birth (mm/dd/yyyy): Personal Address: Address: Unit #: State: City: Zip Code: Country: Mobile Phone: Home Phone: Alternative Phone: Employer Name: Section 2: Current Employment Information Address: Unit #: City: State: Zip Code: Country: Position(s) Held and Responsibilities: Beginning: Ending: Length: (years/months) Section 3: Licenses held by NEW Associate Questions Mark One Do you currently hold any of the following licenses: Insurance license? If yes, list the states in which you hold insurance license(s) and list the types of lines you currently hold: Securities license (i.e. FINRA)? If yes, indicate below the license(s) you currently hold: Securities Supervisory RIA Other: Series 6 /63 Series 24 Series 65 Series 7 Series 26 Series 66 I Intend to be licensed with: ASH Brokerage PKS B/D * GVCM-RIA * Insurance Series 6/7 Series 65/66 BOM Initials: *Requirement: Print the FINRA CRD Broker Check Report and include with this agreement. 1

3 Global View Capital Advisors New Associate Information Section 4: NEW Associate Background Information For all yes answers, attach complete details including copies of court documents. Questions Mark One A.) Have you ever: been convicted of, or pleaded guilty or no contest to in a domestic, foreign, or military court to any: 1.) a felony involving: insurance, investments, or an investment-related business or any fraud, theft, breach of trust, false statements or omissions, wrongful taking of property, bribery, forgery, counterfeiting, extortion or a conspiracy to commit any of the offenses? 2.) been charged with any felony? 3.) a misdemeanor involving: insurance, investments, or a related business, fraud, theft, breach of trust, false statements or omissions, wrongful taking of property, bribery, forgery, counterfeiting or extortion? 4.) been charged with any misdemeanor? B.) Have you ever had any Federal regulatory agency or any state regulatory agency or foreign financial regulatory authority ever: 1.) found you to have caused or been guilty of or made a false statement or mission or been dishonest, unfair or unethical? 2.) denied, suspended, or revoked your registration or license or otherwise, by order, prevented you from associating with an investment-related business or restricted your activities? C.) Have you personally filed a bankruptcy petition or declared bankruptcy? (i.e. Including Chapter 7 or Chapter 13 filings) D.) Have you had any credit situations where you have negotiated alternative payment methods to eliminate credit or any other type of personal and/or business related debt? If yes, attached copies with explanations of the occurrences and the resolutions? E.) Have you ever had any judgments filed against you? If yes, attach copies of the judgment(s) and court documents. F.) Have you ever been notified, in writing, that you are now the subject of any civil action, civil judgment, arbitration, regulatory complaint, or consumer-initiated complaint? If yes, attach copies of any associated documents and an explanation of the occurrence. G.) Are you currently engaged in any other business as a proprietor, partner, officer, director, employee, trustee, and agent or otherwise? (Please exclude non investment-related activity that s exclusively charitable, civic, religious or fraternal and is recognized as tax exempt.) If yes, provide the following details: the name of the other business, whether the business is investment-related the address of the other business, the nature of the other business, your position, title, or relationship with the other business, and a copy of a business card. H.) Are you using Facebook, Twitter, LinkedIn or any other web social networking page or blog? If yes, list below - each specific site you are using, your contact name on the site, and your address associated with the site. 2

4 Global View Capital Advisors New Associate Information Section 5: GVC Supervision INTRODUCTION: Person that introduced the NEW associate to GVC. Print the name of the GVC associate below. Last Name: First Name: GVC Code #: GVC Executive Director: Person the NEW associate will be assigned to and report to for training and/or supervision. Note: The Executive Director s branch office address will be the address assigned to the NEW associate automatically. Last Name: First Name: GVC Code #: GVC BOM: Person the NEW associate will be assigned to for supervision, recordkeeping and audits. BOM Last Name: BOM First Name: BOM GVC Code #: NEW Associate Acknowledgement By signing below, I acknowledge that the information provided in this document is accurate and true. NEW Associate Signature: Date: 3

5 Global View Capital Advisors (Representative Agreement) This Agreement sets forth the terms and conditions of our mutual arrangement pursuant to which you shall serve as an independent contractor representative ("representative") of Global View Capital Advisors (the Company ), whose principal mailing address is Stone Ridge III Business Center, N14W23833 Stone Ridge Drive, Suite 350, Waukesha, Wisconsin The Company is an unregistered marketing and administrative entity for its two affiliated regulated entities: (1) Global View Capital Management ( GVCM ), an SEC registered investment adviser; and (2) Global View Capital Insurance ( GVCI ), a licensed insurance agency. GVCM and GVCI referred to as the "Global Affiliates". In addition the Company, via the individual association of its representatives, currently (subject to change at the discretion of the Company) provides services in conjunction with Purshe Kaplan Sterling Investments ( PKS ), a FINRA member broker- dealer. As a representative of the Company, you shall qualify to receive compensation based on current guidelines and compensation schedule, which may be amended, from time-to-time, at the Company's discretion, and published on GVConnect. Your continued association with the Company shall be subject to: (1) achieving minimum performance standards as may be established by the Company from time-to-time, and, (2) attending Company provided basic training courses, as well as ongoing office, internet, and field training. Independent Contractor: As an independent contractor, you expressly acknowledge, understand, and agree that: (1) the Company shall not provide to you any employer-paid or sponsored benefits, including, but not limited to health/medical insurance coverage, paid vacation, etc.; (2) you will be solely responsible for payment of all expenses associated with your business activities, and (3) you will be solely responsible for payment of all federal, state and local taxes associated with your business activities. As a representative, you acknowledge that your continued association with the Company is contingent upon your ongoing and continuous obligation to comply with, the following: 1. that you will abide by all of the Company s policies and procedures governing the conduct of its representatives; 2. that you shall conduct yourself in a professional manner at all times when acting as a representative of Company; 3. all of your commission securities (including variable investment products) shall be provided exclusively in your individual capacity as a registered representative of PKS, or through such other broker-dealer as may be determined in the future at the exclusive discretion of the Company; 4. all of your commission investment advisory business shall be provided exclusively in your individual capacity as an investment adviser representative of GVCM or through such other registered investment adviser as may be determined in the future at the exclusive discretion of the Company; 5. unless otherwise agreed to, in writing, by the Company, all of your commission insurance business shall be placed exclusively through GVCI; 6. in the event that you are compensated by the Company for the sale of any product or service in conjunction with your association with GVCM, GVCI or PKS and that sale or service is reversed and/or retracted, you shall be responsible for immediately reimbursing the Company for the corresponding previously paid compensation; 4

6 7. at all times, you shall have the exclusive obligation to maintain, at your expense, errors and omissions liability insurance coverage for business activities (i.e., securities brokerage, investment advisory, insurance, etc.); 8. you will not use the Company logo or branding without prior authorization from the Company; unless provided routinely from GVConnect; 9. you shall not offer or provide any products or services that are competitive with those associated with the Company without prior authorization from the Company; 10. your access to, and use of, Company proprietary materials and processes (i.e., web site, software, marketing and training materials, etc.) shall immediately cease upon termination of your association with the Company (see Proprietary Information below); 11. that you will first advise Company, in writing, of any and all ventures, employment or independent contractor positions (outside of your employment or association with Company), and obtain approval therefore from Company prior to engaging (continuing to engage) in any such outside activity(ies). The Company is under no obligation to approve same, and if it does, may impose conditions to such approval; 12. that you shall not discard, delete, alter or modify any correspondence (hard copy or electronic) sent or received by you as representative of Company without first receiving express authorization to do so from Company; 13. that you have satisfied or will satisfy prior to so acting all applicable state, federal and/or self regulatory organization registration and/or licensing requirements imposed upon individuals who provide securities brokerage, investment advisory, and insurance sales and services. The Company s obligation to pay compensation to you is specifically contingent upon your initial and ongoing compliance with state, federal and self regulatory requirements as same may be amended from time-to-time; and, 14. for a period of twenty-four (24) months subsequent to the termination of your association with the Company, you shall not, directly or in conjunction with any other person or entity: (1) solicit or seek to provide, or provide, any securities brokerage, investment advisory, or insurance services to any client of the Company or Company representative, GVCM, GVCI or PKS that you did not directly service prior to your termination; (2) seek to hire or engage, or hire and/or engage, any other Company employee or representative (excluding employees and representatives within your own Executive Director branch-but only if you are an Executive Director at the time of termination); and (3) interfere with any of the Company's vendor relationships. You acknowledge and agree that should you violate any of the above, the Company shall have recourse to the fullest extent permitted under law, including seeking injunctive relief, and reimbursement of attorneys fees and costs. In the event that you become a party to any legal proceeding, claim, or otherwise, or incur costs or suffer damages as a direct result of any action and/or omission by the Company (which is not attributable to any action and/or omission on your part, nor your violation of this Agreement), the Company shall defend, indemnify, and hold you harmless. In the event that Company, or any of its officers, directors, members, owners, employees and/or agents, shall become a party to any legal proceeding, claim, or otherwise, or incur costs or suffer damages as a result of your negligence, fraud or willful misconduct, you shall defend, indemnify and hold harmless Company, its officers, directors, employees and/or agents, including, but not limited to, payment of all settlements, judgments, awards, attorneys fees and costs. 5

7 In addition, in the event that the Company (or any of its officers, directors, members, owners, employees and/or agents) should become involved in any matter and/or suffer damages and/or costs arising from your service as a representative of the Company, GVCM, GVCI or PKS, and such matter, damages and/or costs are covered by errors and omissions liability insurance you shall remain responsible for payment of all insurance deductibles, and all other costs, expenses, judgments, or awards, to the extent they exceed the policy coverage or not otherwise covered under the terms of the insurance policy. In the event that Company (and/or any of its officers, directors, members, owners, employees and/or agents) shall become a party to any legal proceeding, claim, or otherwise, or incur costs or suffer damages as a result of, any action and/or omission by you (or an allegation thereof) which arises outside the scope of your service as representative for the Company, GVCM, GVCI or PKS (i.e., as an attorney, certified public accountant, licensed insurance agent, previous employment, or otherwise as may be determined by the Company), you correspondingly agree to defend, indemnify and hold harmless Company, its officers, members, employees and/or agents, from any and all settlements, judgments, awards, attorneys fees and costs. You also acknowledge your obligation to report any such outside business activity to Company for its prior review and approval. Proprietary Information: To the extent that you provide services in conjunction with any Company or Global Affiliates proprietary investment program, model, fund, process, method, practice or other intellectual property or offering (altogether referred to as the "Proprietary Information") you acknowledge and agree that the Company and/or the Global Affiliates own all right, title and interest in and to all Proprietary Information. Upon termination of your association with the Company, you shall not, directly or indirectly, use or reference the Company or any Proprietary Information without the express prior written consent of Company. Specifically, you acknowledge that the Proprietary Information includes, but is not limited to, investment programs, models, funds, brochures, logos, operations, processes, methods, practices, training programs, marketing, calculators, web site, lists, and the clients of other Company representatives. Upon termination of your association, or at any other time that Company may so request, you shall immediately deliver to the Company all Proprietary Information that you may then possess or have under your control, regardless of the format in which it is created or maintained (hard copy, electronic, or otherwise), or where or how it is maintained, including all computer(s) or like devices that you may possess or have access to away from Company s offices. Please Note: Limitation: Proprietary Information shall not include information that pertains to clients that you directly serviced prior to your termination with the Company, or information that is within the public domain. No failure by Company to exercise any above term or condition shall serve as a waiver thereof. All of the above obligations shall survive the termination of your association with Company. In addition to all other legal remedies, the Company shall have the right to withhold or deduct all costs and expenses incurred or reasonably anticipated to be incurred as result of any above referenced claim, action, proceeding, investigation, action or omission against any compensation that may be payable to you by the Company. This Agreement may be terminated by either party at any time, and for any reason, upon written notice. Your obligations regarding the Propriety Information shall survive termination. In the event that you are leaving another broker-dealer, investment adviser, or financial services firm to join the Company, you represent that you are in good standing and are not currently the party to any agreement or understanding restricting the transfer of accounts, and shall indemnify and hold the Company and its officers, directors, employees and agents harmless in the event that this representation is incorrect, or is alleged by any party to be incorrect. 6

8 This Agreement shall be governed under the laws of the State of Wisconsin, and the venue (i.e. location) for the resolution of any dispute or controversy shall be the County of Waukesha, State of Wisconsin. You also acknowledge, understand and agree that: (1) this Agreement does not cause an employment/association for any term; (2) the Company may, at its discretion, conduct (or hire an unaffiliated service to conduct) a background review, including a review of any applicable reported civil and criminal history, and you hereby consent to such background review; (3) the above terms and conditions are not intended to deprive you of an opportunity to earn a living in the same business as that of the Company, its other representatives, GVCM or GVCI. Rather, you agree to abide by the above terms and conditions in recognition of the Company s legitimate and reasonable objective to protect its business interests; and, (4) your violation of any of the above Item 13 non-solicitation/non-interference or Proprietary Information terms and conditions shall result in the forfeiture of any and all compensation (of whatever kind or nature) that may be due to you from the Company, and the Company shall have the right to notify your prospective employer of the existence of this Agreement, and you release and hold the Company harmless from any adverse consequences that may result. This Agreement replaces and supersedes, in its entirety, all previous agreements between the parties regarding your association as a representative of the Company relative to the subject matter hereof. In the event that this Agreement (or any portion(s) hereof) is found by a court to be invalid or unenforceable, the remainder of the Agreement shall remain in full force and effect. You also acknowledge and agree that a court may exercise its discretion in reforming the Agreement for the purpose of making the Agreement enforceable by the Company. Upon your execution in the space provided below, we shall have a binding Agreement between us in accordance with the aforementioned terms and conditions. Sincerely, GLOBAL VIEW CAPITAL ADVISORS BY: New Representative BY: Dean M. Fliss, President Agreed to and accepted by this Agreed to and accepted by this day of, 20 day of, 20 NOTE: The GVCA Affiliation Agreement must be accompanied with a completed current version of the IRS W-9 form as it is required for GVCA commission purposes. Rev

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