LD
Lisa E. Dregne
BROADVIEW FINANCIAL MANAGEMENT
Wauwatosa, WI 53226
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CRD#: 6095269
LD
Professional summary
Lisa Eileen Dregne, CFP®, who also goes by Lisa E. Dregne, Lisa Dregne, is a registered financial advisor currently at BROADVIEW FINANCIAL MANAGEMENT, LLC located in Wauwatosa, Wisconsin.
Lisa is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Lisa has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Lisa E. Dregne | Lisa Dregne
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] YORKSHIRE INSURANCE ADVISORS, LLC; NOT INVESTMENT RELATED; ADDRESS: 4445 CORAL DRIVE, BROOKFIELD, WI 53045; NATURE: INSURANCE; POSITION: OWNER AND INSURANCE CONSULTANT; STARTED: 01.01.2019; APPROX. 3 HRS/MONTH; APPROX. 2 HRS/MONTH DURING TRADING HOURS; RESPONSIBILITIES: MARKET, EDUCATE AND CONSULT PEOPLE REGARDING VARIOUS INSURANCE OPTIONS - NO INSURANCE SALES. [2] GLOBAL VIEW CAPITAL ADVISORS, LTD., AN AFFILIATE OF GLOBAL VIEW CAPITAL MANAGEMENT, LTD.; YES-INVESTMENT RELATED; HEADQUARTERS ADDRESS: N14W23833 STONE RIDGE DRIVE, SUITE 350, WAUKESHA, WI 53188; NATURE: MARKETING FIRM FOR INSURANCE AND ADVISORY SERVICES; POSITION: INDEPENDENT CONTRACTOR; AFFILIATION DATE: 10.15.2020; APPROX. 30 ADVISORY HRS/MONTH; APPROX. 25 ADVISORY HRS/MONTH DURING TRADING HOURS; RESPONSIBILITIES: MARKETING, EDUCATION AND SALES OF GVCM ADVISORY SERVICES AND GVCI INSURANCE SERVICES. GVCI HOURS LISTED SEPARATELY. [3] GLOBAL VIEW CAPITAL INSURANCE, LTD, AN AFFILIATE OF GLOBAL VIEW CAPITAL ADVISORS, LTD.; YES-INVESTMENT RELATED; HEADQUARTERS ADDRESS: N14W23833 STONE RIDGE DRIVE, SUITE 350, WAUKESHA, WI 53188; NATURE: INSURANCE; POSITION: INSURANCE AGENT; STARTED: 11.02.2020; APPROX. 10 HRS/MONTH; APPROX. 8 HRS/MONTH DURING TRADING HOURS; RESPONSIBILITIES: MARKETING, EDUCATION AND SALES OF FIXED INSURANCE PRODUCTS FOR MULTIPLE PROVIDER COMPANIES TO PROSPECTIVE CLIENTS AND EXISTING CLIENTS WITH FOCUS ON SALE OF LIFE, LONG TERM CARE AND DISABILITY INSURANCE PRODUCTS AND FIXED ANNUITIES. [4] PREMIER FINANCIAL MANAGEMENT SERVICES; NOI INVESTMENT RELATED; ADDRESS: 10425 W. NORTH AVENUE, SUITE 345, MILWAUKEE, WI 53226; WI IRIS PROGRAM FOR MEDICAID USERS WHO NEED LONG TERM CARE; POSITION: CUSTOMER SERVICE; STARTED: 01-11-2021; APPROX. 80 HRS/MONTH DURING TRADING HOURS; APPROX. ZERO HRS/MONTH OUTSIDE TRADING HOURS; RESPONSIBILITIES: ANSWER PHONES 20 HRS/WEEK AND ASSIST WITH ANSWERING QUESTIONS.
CRS (Client Relationship Summary) - RIA
Click below to view Lisa Eileen Dregne's 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®
Start date: 2017
Experience
Current
October 14, 2022 - Present
BROADVIEW FINANCIAL MANAGEMENT, LLC
Office #1: 10401 W Innovation Dr Suite 100, Wauwatosa, WI 53226RIA
CRD#: 143550
Wauwatosa, WI
Past
November 4, 2020 - October 7, 2022
GLOBAL VIEW CAPITAL MANAGEMENT LLC
RIA
CRD#: 158292
WAUKESHA, WI
Past
December 9, 2015 - February 27, 2019
VALMARK ADVISERS, INC.
RIA
CRD#: 108050
Mequon, WI
Past
November 28, 2015 - February 27, 2019
VALMARK SECURITIES, INC.
BD
CRD#: 31243
MEQUON, WI
Past
February 4, 2015 - November 3, 2015
ELLENBECKER INVESTMENT GROUP
RIA
CRD#: 173851
PEWAUKEE, WI
Past
October 22, 2013 - December 31, 2014
SII INVESTMENTS, INC.
RIA
CRD#: 2225
PEWAUKEE, WI
Past
October 22, 2013 - December 31, 2014
SII INVESTMENTS, INC.
BD
CRD#: 2225
PEWAUKEE, WI
Past
January 29, 2013 - October 8, 2013
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
WAUWATOSA, WI
Past
July 26, 2012 - October 8, 2013
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
WAUWATOSA, WI
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".
BF
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)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
Wisconsin(10/14/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
BF
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)Upgrade to AdvisorCheck Premium
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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
9
SEC notice filing (4 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,273 |
| AUM (Assets Under Management) | $ 623,294,951 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
BROADVIEW FINANCIAL MANAGEMENT, LLC
CRD#: 143550Wauwatosa, WI 53226TRUST BUT VERIFY
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