Thomas Bailey has been President and Chief Compliance Officer of Broadview Wealth Management since March 2015, is a control person of the firm and directly owns 75% or more of it. Thomas Bailey holds a Master of Business Administration from the University of Washington Graduate School of Management, a Master of Public Policy from the University of Melbourne and a Bachelor of Arts in Political Science from Whitman College.
Broadview Wealth Management, LLC is a firm with $155M under management, 74 clients and 1 adviser in one office, as of its April 2026 filing.
Thomas Bailey is President and Founder of Broadview Wealth Management, LLC, based in Bellevue, WA. Bailey founded the firm in 2015 as a Registered Investment Advisor. Before that he spent over 18 years as a business and marketing executive at Microsoft Corporation in Redmond, WA, including nearly 10 years as a Senior Director.
- – present · 11 yearsKirkland, WA · Adviser representative · Firm CRD 174429
Investment adviser representative registrations
Thomas Bailey is registered as an investment adviser representative in 2 states, as a resident of Texas. The first approvals date from March 2015; the most recent is Texas, in January 2025.
- TexasResidentSince 10 January 2025
- WashingtonSince 5 March 2015
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 16 December 2014 |
- Name
- Uniform Investment Adviser Law Examination
- Full name
- Thomas Ausland Bailey
- CRD
- 6435763
- Firm
- Broadview Wealth Management · CRD 174429
- Role
- President and Chief Compliance Officer
- Office
- Kirkland, WA
- Registration
- Investment adviser registration
- In the industry since
- March 2015
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- broadviewwealth.com
Where does Thomas Bailey work?
Thomas Bailey has been President and Chief Compliance Officer of Broadview Wealth Management, LLC since March 2015, and is a control person of the firm.
Is Thomas Bailey a financial advisor?
Yes. Thomas Bailey has a current investment-adviser registration in Texas and Washington, through Broadview Wealth Management since March 2015.
How many years of experience does Thomas Bailey have?
Thomas Bailey has 11 years in the financial industry, since March 2015, across 1 adviser firm.
What exams has Thomas Bailey passed?
Thomas Bailey passed the Series 65 in December 2014.
Where is Thomas Bailey based?
Thomas Bailey’s registered office is in Kirkland, WA.
Is Thomas Bailey registered with FINRA?
No. Thomas Bailey has no current broker registration.
How can I verify Thomas Bailey’s record?
Search CRD 6435763 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Thomas Bailey’s full registration record.