Nathan Turcotte

BROADVIEW FINANCIAL MANAGEMENT

Wauwatosa, WI 53226

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CRD#: 7329289

Professional summary

Nathan Turcotte, who also goes by Nathan Andrew Turcotte, Nathan Turcotte, is a registered financial advisor currently at BROADVIEW FINANCIAL MANAGEMENT, LLC located in Wauwatosa, Wisconsin.

Nathan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Nathan has worked at 4 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Nathan Andrew Turcotte | Nathan Turcotte

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 Nathan Turcotte'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

March 6, 2026 - Present

BROADVIEW FINANCIAL MANAGEMENT, LLC

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

RIA

CRD#: 143550

Wauwatosa, WI

Past

March 31, 2025 - March 12, 2026

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

HARTLAND, WI

Past

November 23, 2022 - March 31, 2025

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

BROOKFIELD, WI

Past

April 9, 2021 - March 12, 2026

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

BROOKFIELD, 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".

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

Wisconsin
(3/6/2026)

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: 5/29/2021

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 4/9/2021

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 4/1/2021

Securities Industry Essentials 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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Nathan Turcotte

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nathan Turcotte's CRS (Customer Relationship Summary).

Certified licenses

Experience

BROADVIEW FINANCIAL MANAGEMENT, LLC

STRATEGIC ADVISERS LLC

FIDELITY PERSONAL AND WORKPLACE ADVISORS

FIDELITY BROKERAGE SERVICES LLC

Primary Firm SEC Registration

BROADVIEW FINANCIAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/29/2021

Series 7TO

Date: 4/9/2021

SIE

Date: 4/1/2021

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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