Adam Dodge has been Owner & Manager of Broadview Financial Management since September 2016, is a control person of the firm and directly owns between 10% and 25% of it.
Broadview Financial Management, LLC is a Wauwatosa, WI firm with $699M under management, 269 clients and 7 advisers in one office, as of its March 2026 filing.
Adam Dodge’s longest registration is the current one, 14 years at Broadview Financial Management since 2012. Before joining Broadview Financial Management in 2012, Adam Dodge was registered through Strategic Advisers, Inc.
- – present · 14 yearsWauwatosa, WI · Adviser representative · Firm CRD 143550
- Strategic Advisers, Inc.– · 1 yearBrookfield, WI · Adviser representative · Firm CRD 104555
Investment adviser representative registrations
Adam Dodge is registered as an investment adviser representative in 2 states. The first approvals date from January 2012; the most recent is Texas, in April 2017.
- TexasSince 21 April 2017
- WisconsinSince 1 January 2012
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 66 | Uniform Combined State Law Examination | 30 December 2008 |
| Series 7 | General Securities Representative Examination | 12 November 2008 |
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Adam William Dodge
- CRD
- 5581033
- Firm
- Broadview Financial Management · CRD 143550
- Role
- Owner & Manager
- Office
- 10401 W INNOVATION DR, SUITE 100, Wauwatosa, WI 53226
- Registration
- Investment adviser registration
- In the industry since
- August 2010
- Disciplinary history
- Not yet shown here · SEC record
Where does Adam Dodge work?
Adam Dodge has been Owner & Manager of Broadview Financial Management, LLC since September 2016, and is a control person of the firm.
Is Adam Dodge a financial advisor?
Yes. Adam Dodge has a current investment-adviser registration in Texas and Wisconsin, through Broadview Financial Management since January 2012.
How many years of experience does Adam Dodge have?
Adam Dodge has 16 years in the financial industry, since August 2010, across 2 adviser firms.
What exams has Adam Dodge passed?
Adam Dodge has passed 2 licensing exams: the Series 7 and Series 66. The earliest, the Series 7, was passed in November 2008.
Where did Adam Dodge work before Broadview Financial Management?
Before Broadview Financial Management, Adam Dodge was registered through Strategic Advisers, Inc., January 2010 to June 2011.
Where is Adam Dodge based?
Adam Dodge’s registered office is in Wauwatosa, WI.
Is Adam Dodge registered with FINRA?
No. Adam Dodge has no current broker registration.
How can I verify Adam Dodge’s record?
Search CRD 5581033 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Adam Dodge’s full registration record.
