Joseph B. Dailey

BROADVIEW FINANCIAL MANAGEMENT

Wauwatosa, WI 53226

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CRD#: 2646145

Professional summary

Joseph Banfay Dailey, CFP® is a registered financial advisor currently at BROADVIEW FINANCIAL MANAGEMENT, LLC located in Wauwatosa, Wisconsin.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Joseph has worked at 6 firms and has passed the Series 65, Series 63, Series 3, Series 7, Series 9, Series 10 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Banfay Dailey's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2009

Experience

Current

February 7, 2011 - Present

BROADVIEW FINANCIAL MANAGEMENT, LLC

Office #1: 10401 W Innovation Dr Suite 100, Wauwatosa, WI 53226

RIA

CRD#: 143550

Wauwatosa, WI

Past

November 4, 2004 - May 6, 2010

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

BROOKFIELD, WI

Past

October 6, 2004 - May 5, 2010

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

BROOKFIELD, WI

Past

April 1, 2004 - September 3, 2004

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868

SAINT PAUL, MN

Past

October 13, 2000 - April 7, 2004

STRONG CAPITAL MANAGEMENT INC

RIA

CRD#: 106638

MENOMONEE FALLS, WI

Past

October 18, 1999 - April 7, 2004

STRONG INVESTMENTS, INC.

CRD#: 15658

MENOMONEE FALLS, WI

Past

August 24, 1995 - October 8, 1999

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

BROADVIEW FINANCIAL MANAGEMENT, LLC

BROADVIEW FINANCIAL MANAGEMENT, LLC | SJA FINANCIAL ADVISORY, LLC | SATTELL, JOHNSON, APPEL FINANCIAL ADVISORY, LLC

CRD#: 143550 / SEC#: 801-77625

RIA

Registered Investment Advisory firm - (2/13/2013 Approved)

Wisconsin

Registered Investment Advisory firm - (2/22/2013 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Texas
(2/28/2013)

IAR

Wisconsin
(2/7/2011)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/29/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/28/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 8/19/2003

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 8/23/1995

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 7/25/2007

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 5/23/2007

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 24

Date: 4/13/2000

General Securities Principal Examination

Current Firm

BROADVIEW FINANCIAL MANAGEMENT, LLC

BROADVIEW FINANCIAL MANAGEMENT, LLC | SJA FINANCIAL ADVISORY, LLC | SATTELL, JOHNSON, APPEL FINANCIAL ADVISORY, LLC

CRD#: 143550 / SEC#: 801-77625

RIA

Registered Investment Advisory firm - (2/13/2013 Approved)

Wisconsin

Registered Investment Advisory firm - (2/22/2013 Terminated)

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Contact information

Main Address

10401 W Innovation Dr Suite 100, Wauwatosa, WI 53226

Mailing Address

Phone number

(414) 390-1492

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BROADVIEW ADV PART 2A (3/26/2025)

Regulatory assets under management

Total Number of Accounts	1,273
AUM (Assets Under Management)	$ 623,294,951

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Joseph B. Dailey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Banfay Dailey's CRS (Customer Relationship Summary).

Certified licenses

Experience

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

U.S. BANCORP INVESTMENTS, INC.

STRONG CAPITAL MANAGEMENT INC

STRONG INVESTMENTS, INC.

FIDELITY BROKERAGE SERVICES LLC

Primary Firm SEC Registration

BROADVIEW FINANCIAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/29/1997

Series 63

Date: 9/28/1995

Series 3

Date: 8/19/2003

Series 7

Date: 8/23/1995

Series 9

Date: 7/25/2007

Series 10

Date: 5/23/2007

Series 24

Date: 4/13/2000

Current Firm

BROADVIEW FINANCIAL MANAGEMENT, LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BROADVIEW FINANCIAL MANAGEMENT, LLC

TRUST BUT VERIFY

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