DL
Daniel J. Lester
SAGEBROADVIEW WEALTH MANAGEMENT
Farmington, CT 06032-2837
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CRD#: 7264333
DL
Professional summary
Daniel James Lester, who also goes by Danny James Lester, is a registered financial advisor currently at SAGEBROADVIEW WEALTH MANAGEMENT, LLC located in Farmington, Connecticut.
Daniel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2020. Daniel has worked at 1 firm and has passed the Series 65 exam.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Danny James Lester
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.
CRS (Client Relationship Summary) - RIA
Click below to view Daniel James Lester'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®
NoneExperience
Current
July 24, 2020 - Present
SAGEBROADVIEW WEALTH MANAGEMENT, LLC
Office #1: 10 Waterside Drive Suite 305, Farmington, CT 06032-2837RIA
CRD#: 126472
Farmington, CT
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".
SAGEBROADVIEW WEALTH MANAGEMENT, LLC
BROADVIEW FINANCIAL PLANNING, LLC | SAGEBROADVIEW WEALTH MANAGEMENT, LLC | SAGEBROADVIEW FINANCIAL PLANNING, LLC | DHAS FINANCIAL PLANNING, LLC
CRD#: 126472 / SEC#: 801-100506
RIA
Registered Investment Advisory firm - (7/16/2015 Approved)Connecticut
Registered Investment Advisory firm - (8/12/2015 Terminated)Massachusetts
Registered Investment Advisory firm - (7/17/2015 Terminated)New Hampshire
Registered Investment Advisory firm - (11/2/2015 Terminated)New Jersey
Registered Investment Advisory firm - (7/28/2015 Terminated)New York
Registered Investment Advisory firm - (7/17/2015 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
Connecticut(7/24/2020)
IAR
New Jersey(5/15/2025)
Current Firm
SAGEBROADVIEW WEALTH MANAGEMENT, LLC
BROADVIEW FINANCIAL PLANNING, LLC | SAGEBROADVIEW WEALTH MANAGEMENT, LLC | SAGEBROADVIEW FINANCIAL PLANNING, LLC | DHAS FINANCIAL PLANNING, LLC
CRD#: 126472 / SEC#: 801-100506
RIA
Registered Investment Advisory firm - (7/16/2015 Approved)Connecticut
Registered Investment Advisory firm - (8/12/2015 Terminated)Massachusetts
Registered Investment Advisory firm - (7/17/2015 Terminated)New Hampshire
Registered Investment Advisory firm - (11/2/2015 Terminated)New Jersey
Registered Investment Advisory firm - (7/28/2015 Terminated)New York
Registered Investment Advisory firm - (7/17/2015 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
10 Waterside Drive Suite 305, Farmington, CT 06032-2837
Mailing Address
Phone number
(860) 606-3580
Established
Firm type
Fiscal year end
# of Employees
7
SEC notice filing (7 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 595 |
| AUM (Assets Under Management) | $ 350,339,835 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/16/2025 | ||
| 10/17/2024 | ||
| 09/18/2023 |
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.
