Dawn M. Jones

BROADVIEW WEALTH PARTNERS

BOULDER, CO 80302

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CRD#: 4537652

Professional summary

Dawn M. Jones, who also goes by Dawn M Rogers, Dawn M. Rogers, Dawn M. Welling, is a registered financial advisor currently at BROADVIEW WEALTH PARTNERS located in Boulder, Colorado.

Dawn is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Dawn has worked at 7 firms and has passed the Series 66, SIE, Series 31, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dawn M Rogers | Dawn M. Rogers | Dawn M. Welling

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.

(1)Name of Business: Integrated Capital Management Address: 1212 Pearl St Ste 200, Boulder, CO, 80302, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: No Start Date: 07/27/2009 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: support company for duties related to Broadview Wealth Partners, LLC

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dawn M. Jones'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®

None

Experience

Current

October 9, 2025 - Present

BROADVIEW WEALTH PARTNERS

Office #1: 1212 Pearl Street, Suite 200, Boulder, CO 80302

RIA

CRD#: 335028

BOULDER, CO

Past

August 3, 2009 - October 2, 2025

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

BOULDER, CO

Past

July 30, 2009 - October 2, 2025

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

BOULDER, CO

Past

November 17, 2006 - May 30, 2008

GENEOS WEALTH MANAGEMENT, INC.

RIA

CRD#: 120894

CENTENNIAL, CO

Past

November 17, 2006 - May 30, 2008

GENEOS WEALTH MANAGEMENT, INC.

CRD#: 120894

CENTENNIAL, CO

Past

November 3, 2005 - November 10, 2006

UNITED SECURITIES ALLIANCE, INC.

RIA

CRD#: 36487

GREENWOOD VILLAGE, CO

Past

May 18, 2005 - November 10, 2006

UNITED SECURITIES ALLIANCE, INC.

CRD#: 36487

GREENWOOD VILLAGE, CO

Past

April 19, 2004 - June 6, 2005

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

CRD#: 40178

FRANKLIN, TN

Past

August 8, 2003 - April 22, 2004

INTERVEST INTERNATIONAL EQUITIES CORPORATION

CRD#: 20289

COLORADO SPRINGS, CO

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 WEALTH PARTNERS

BROADVIEW WEALTH PARTNERS | BROADVIEW WEALTH PARTNERS, LLC

CRD#: 335028 / SEC#: 801-134094

RIA

Registered Investment Advisory firm - (8/1/2025 Approved)

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

Colorado
(10/9/2025)

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 66

Date: 10/24/2005

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 6/20/2006

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 8/7/2003

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/23/2004

General Securities Principal Examination

Current Firm

BROADVIEW WEALTH PARTNERS

BROADVIEW WEALTH PARTNERS | BROADVIEW WEALTH PARTNERS, LLC

CRD#: 335028 / SEC#: 801-134094

RIA

Registered Investment Advisory firm - (8/1/2025 Approved)

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Contact information

Main Address

1212 Pearl Street, Suite 200, Boulder, CO 80302

Mailing Address

Phone number

(303) 323-4293

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - FIRM BROCHURE (11/12/2025)

Regulatory assets under management

Total Number of Accounts	1,489
AUM (Assets Under Management)	$ 309,141,416

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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Advisor Monitoring

Firm Stability Insights

Dawn M. Jones

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dawn M. Jones's CRS (Customer Relationship Summary).

Certified licenses

Experience

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

GENEOS WEALTH MANAGEMENT, INC.

GENEOS WEALTH MANAGEMENT, INC.

UNITED SECURITIES ALLIANCE, INC.

UNITED SECURITIES ALLIANCE, INC.

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

INTERVEST INTERNATIONAL EQUITIES CORPORATION

Primary Firm SEC Registration

BROADVIEW WEALTH PARTNERS

State Registrations and Notice Filings

Exams

Series 66

Date: 10/24/2005

SIE

Date: 10/1/2018

Series 31

Date: 6/20/2006

Series 7

Date: 8/7/2003

Series 24

Date: 6/23/2004

Current Firm

BROADVIEW WEALTH PARTNERS

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BROADVIEW WEALTH PARTNERS

TRUST BUT VERIFY

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