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Joseph Banfay Dailey

Broadview Financial Management, LLC

Wauwatosa, WI

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Current Employers
Broadview Financial Management, Llc

10401 W Innovation Dr Suite 100, Wauwatosa, WI 53226 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2013-02-28
WI RA APPROVED 2011-02-07
  • TX RA
    APPROVED_RES
    Since 2013-02-28
  • WI RA
    APPROVED
    Since 2011-02-07

Branch Locations

10401 W Innovation Dr Suite 100, Wauwatosa, WI 53226 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Sja Financial Advisory, Llc Menomonee Falls WI 04/2010 Present
  • 04/2010 → Present
    Sja Financial Advisory, Llc
    Menomonee Falls, WI
Previous Registrations
  • 2004-11-04 → 2010-05-06
    Strategic Advisers Llc
    Brookfield, WI
  • 2000-10-13 → 2004-04-07
    Strong Capital Management Inc
    Menomonee Falls, WI
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-09-29
S63 Uniform Securities Agent State Law Examination 1995-09-28
  • S65 Uniform Investment Adviser Law Examination
    1997-09-29
  • S63 Uniform Securities Agent State Law Examination
    1995-09-28
Designations

View on SEC IAPD

Other Firms

LPL FINANCIAL LLC
U.S. BANCORP ADVISORS, LLC
CURI CAPITAL, LLC
AFFILIATED FINANCIAL ADVISORS INC
CETERA INVESTMENT ADVISERS LLC
PACKERLAND BROKERAGE SERVICES, INC.
HARBOUR INVESTMENTS, INC.
J. W. COLE ADVISORS, INC.

Other Investors

FRANK ANTHONY MULARZ III
Alicia Brooke Lantz
Andrew Lee Kroll
Edward August Behling
David Edward Koehler
DANIEL JOSEPH MATOLA
BRIAN ARTHUR JANECKE
JASON VERN VOELKER

Other Offices

LPL FINANCIAL LLC · WAUWATOSA, WI
U.S. BANCORP ADVISORS, LLC · Wauwatosa, WI
CURI CAPITAL, LLC · Milwauikee, WI
AFFILIATED FINANCIAL ADVISORS INC · MILWAUKEE, WI
CETERA INVESTMENT ADVISERS LLC · WAUWATOSA, WI
PACKERLAND BROKERAGE SERVICES, INC. · WAUWATOSA, WI
HARBOUR INVESTMENTS, INC. · MILWAUKEE, WI
AFFILIATED FINANCIAL ADVISORS INC · MILWAUKEE, WI

More in Wauwatosa, WI

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