Joseph Dailey has been Owner, Manager & CIO of Broadview Financial Management since January 2015, is a control person of the firm and directly owns between 25% and 50% of it. Joseph Dailey holds a BS in Finance from Fairfield University.
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.
Joe Dailey is Chief Investment Officer and Shareholder of Broadview Financial Management. He began his career in 1995 and worked for several large investment and planning firms before joining Broadview in 2010 to build the investment management service.
Joseph Dailey’s longest registration is the current one, 15 years at Broadview Financial Management since 2011. Before joining Broadview Financial Management in 2011, Joseph Dailey was registered through Strategic Advisers, Inc. and Strong Capital Management Inc.
- – present · 15 yearsWauwatosa, WI · Adviser representative · Firm CRD 143550
- Strategic Advisers, Inc.– · 5 yearsBrookfield, WI · Adviser representative · Firm CRD 104555
- Strong Capital Management Inc– · 3 yearsMenomonee Falls, WI · Adviser representative · Firm CRD 106638
Professional designations
Listed by Broadview Financial Management
- CERTIFIED FINANCIAL PLANNER™ (CFP®)
Investment adviser representative registrations
Joseph Dailey is registered as an investment adviser representative in 2 states, as a resident of Texas. The first approvals date from February 2011; the most recent is Texas, in February 2013.
- TexasResidentSince 28 February 2013
- WisconsinSince 7 February 2011
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 9 | General Securities Sales Supervisor - Options Module Examination | 25 July 2007 |
| Series 10 | General Securities Sales Supervisor - General Module Examination | 23 May 2007 |
| Series 3 | National Commodity Futures Examination | 19 August 2003 |
| Series 24 | General Securities Principal Examination | 13 April 2000 |
| Series 65 | Uniform Investment Adviser Law Examination | 29 September 1997 |
| Series 63 | Uniform Securities Agent State Law Examination | 28 September 1995 |
| Series 7 | General Securities Representative Examination | 23 August 1995 |
- Name
- General Securities Sales Supervisor - Options Module Examination
- Name
- General Securities Sales Supervisor - General Module Examination
- Name
- National Commodity Futures Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Joseph Banfay Dailey
- CRD
- 2646145
- Firm
- Broadview Financial Management · CRD 143550
- Role
- Owner, Manager & CIO
- Office
- 10401 W INNOVATION DR, SUITE 100, Wauwatosa, WI 53226
- Registration
- Investment adviser registration
- In the industry since
- February 2002
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- broadviewfinancial.com
Where does Joseph Dailey work?
Joseph Dailey has been Owner, Manager & CIO of Broadview Financial Management, LLC since January 2015, and is a control person of the firm.
Is Joseph Dailey a financial advisor?
Yes. Joseph Dailey has a current investment-adviser registration in Texas and Wisconsin, through Broadview Financial Management since February 2011.
How many years of experience does Joseph Dailey have?
Joseph Dailey has 24 years in the financial industry, since February 2002, across 3 adviser firms.
What exams has Joseph Dailey passed?
Joseph Dailey has passed 7 licensing exams: the Series 7, Series 63, Series 65, Series 24, Series 3, Series 10 and Series 9. The earliest, the Series 7, was passed in August 1995.
Where did Joseph Dailey work before Broadview Financial Management?
Before Broadview Financial Management, Joseph Dailey was registered through Strategic Advisers, Inc., November 2004 to May 2010; Strong Capital Management Inc, October 2000 to April 2004.
Where is Joseph Dailey based?
Joseph Dailey’s registered office is in Wauwatosa, WI.
Is Joseph Dailey registered with FINRA?
No. Joseph Dailey has no current broker registration.
Is Joseph Dailey a CFP?
Broadview Financial Management lists Joseph Dailey with the CFP credential (“CERTIFIED FINANCIAL PLANNER™ (CFP®)”) on its website. CFP Board confirms certification status.
How can I verify Joseph Dailey’s record?
Search CRD 2646145 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Joseph Dailey’s full registration record.
