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Joseph Banfay Dailey

Broadview Financial Management, LLC

Wauwatosa, WI

CRD 2646145

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Employer firm

Broadview Financial Management, LLC CRD 143550

$699M regulatory AUM 102 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Selection of other advisers
  • Educational seminars

From the firm’s Form ADV. Read the guides:

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
  • Certified Financial Planner

View on SEC IAPD

Nearby Firms

LPL FINANCIAL LLC
U.S. BANCORP ADVISORS, LLC
CURI CAPITAL, LLC

Nearby Investors

FRANK ANTHONY MULARZ III
Alicia Brooke Lantz
Andrew Lee Kroll

Nearby Offices

LPL FINANCIAL LLC · WAUWATOSA, WI
U.S. BANCORP ADVISORS, LLC · Wauwatosa, WI
CURI CAPITAL, LLC · Milwauikee, WI

More in Wauwatosa, WI

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