Lisa Dregne has been an investment adviser representative at Broadview Financial Management since October 2022, and is not listed among the firm’s executive officers or direct owners.
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.
Lisa Dregne’s longest registration is the current one, 4 years at Broadview Financial Management since 2022. Before joining Broadview Financial Management in 2022, Lisa Dregne was registered through Global View Capital Management, LTD and Valmark Advisers, Inc.
- – present · 4 yearsWauwatosa, WI · Adviser representative · Firm CRD 143550
- Global View Capital Management, LTD– · 1 yearWaukesha, WI · Adviser representative · Firm CRD 158292
- Valmark Advisers, Inc.– · 3 yearsMequon, WI · Adviser representative · Firm CRD 108050
- Ellenbecker Investment Group– · under a yearPewaukee, WI · Adviser representative · Firm CRD 173851
- Sii Investments, Inc.– · 1 yearPewaukee, WI · Adviser representative · Firm CRD 2225
- Prudential Financial Planning Services– · under a yearWauwatosa, WI · Adviser representative · Firm CRD 5685
Investment adviser representative registrations
Lisa Dregne is registered as an investment adviser representative in Wisconsin, since October 2022.
- WisconsinSince 14 October 2022
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 7 | General Securities Representative Examination | 7 April 2014 |
| Series 65 | Uniform Investment Adviser Law Examination | 9 January 2013 |
| Series 63 | Uniform Securities Agent State Law Examination | 2 August 2012 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 25 July 2012 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Lisa Eileen Dregne
- CRD
- 6095269
- Firm
- Broadview Financial Management · CRD 143550
- Office
- 10401 W INNOVATION DR, SUITE 100, Wauwatosa, WI 53226
- Registration
- Investment adviser registration
- In the industry since
- June 2014
- Disciplinary history
- Not yet shown here · SEC record
Where does Lisa Dregne work?
Lisa Dregne is an investment adviser representative registered through Broadview Financial Management, LLC since October 2022, and is not listed among the firm’s executive officers or direct owners.
Is Lisa Dregne a financial advisor?
Yes. Lisa Dregne has a current investment-adviser registration in Wisconsin, through Broadview Financial Management since October 2022.
How many years of experience does Lisa Dregne have?
Lisa Dregne has 12 years in the financial industry, since June 2014, across 6 adviser firms.
What exams has Lisa Dregne passed?
Lisa Dregne has passed 4 licensing exams: the Series 6, Series 63, Series 65 and Series 7. The earliest, the Series 6, was passed in July 2012. FINRA credited Lisa Dregne with the SIE, which began in October 2018.
Where did Lisa Dregne work before Broadview Financial Management?
Before Broadview Financial Management, Lisa Dregne was registered through Global View Capital Management, LTD, November 2020 to October 2022; Valmark Advisers, Inc., December 2015 to February 2019; Ellenbecker Investment Group, February 2015 to November 2015; Sii Investments, Inc., October 2013 to December 2014; Prudential Financial Planning Services, January 2013 to October 2013.
Where is Lisa Dregne based?
Lisa Dregne’s registered office is in Wauwatosa, WI.
Is Lisa Dregne registered with FINRA?
No. Lisa Dregne has no current broker registration.
How can I verify Lisa Dregne’s record?
Search CRD 6095269 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Lisa Dregne’s full registration record.
