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RIA / WealthAdvisorCertified Financial Planner14 years in industry

LISA EILEEN DREGNE

Advisor at BROADVIEW FINANCIAL MANAGEMENT, LLC

WAUWATOSA, WI

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Search this name across graphsid dfx:ria:aa612796-1aba-6851-97a3-46495b120f8b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:04 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Jan 29, 2013 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: BROADVIEW FINANCIAL MANAGEMENT, LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 2, 2012earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S63|S65
First exam: Aug 2, 2012
First registration: Jan 29, 2013
Dual registered: no
Other names: LISA DREGNE|LISA E. DREGNE
IAPD individual key: 6095269

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
BROADVIEW FINANCIAL MANAGEMENT, LLC	Independent wealth	Oct 14, 2022	n/a	yes	WAUWATOSA, WI	Current employment
GLOBAL VIEW CAPITAL MANAGEMENT LLC	Independent wealth	Nov 4, 2020	Oct 7, 2022	no	WAUKESHA, WI	Previous registration
VALMARK ADVISERS, INC.	Bd affiliated wealth	Dec 9, 2015	Feb 27, 2019	no	Mequon, WI	Previous registration
ELLENBECKER INVESTMENT GROUP	Independent wealth	Feb 4, 2015	Nov 3, 2015	no	WAUKESHA, WI	Previous registration
SII INVESTMENTS, INC.	Former SEC adviser	Oct 22, 2013	Dec 31, 2014	no	PEWAUKEE, WI	Previous registration
PRUCO SECURITIES, LLC	No RAUM reported	Jan 29, 2013	Oct 8, 2013	no	WAUWATOSA, WI	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
GLOBAL VIEW CAPITAL MANAGEMENT LLC	BROADVIEW FINANCIAL MANAGEMENT, LLC	Oct 7, 2022	Oct 14, 2022	7	Firm change	RIA to RIA
VALMARK ADVISERS, INC.	GLOBAL VIEW CAPITAL MANAGEMENT LLC	Feb 27, 2019	Nov 4, 2020	616	Firm change after gap	RIA to RIA
ELLENBECKER INVESTMENT GROUP	VALMARK ADVISERS, INC.	Nov 3, 2015	Dec 9, 2015	36	Firm change	Other
SII INVESTMENTS, INC.	ELLENBECKER INVESTMENT GROUP	Dec 31, 2014	Feb 4, 2015	35	Firm change	Other
PRUCO SECURITIES, LLC	SII INVESTMENTS, INC.	Oct 8, 2013	Oct 22, 2013	14	Firm change	Other

Relationships

Registered with (6)

→ BROADVIEW FINANCIAL MANAGEMENT, LLCRegistered adviserregistration: current employment
Oct 14, 2022 to presentfactForm ADV
→ GLOBAL VIEW CAPITAL MANAGEMENT LLCRegistered adviserregistration: previous registration
Nov 4, 2020 to Oct 7, 2022factForm ADV
→ VALMARK ADVISERS, INC.Registered adviserregistration: previous registration
Dec 9, 2015 to Feb 27, 2019factForm ADV
→ ELLENBECKER INVESTMENT GROUPRegistered adviserregistration: previous registration
Feb 4, 2015 to Nov 3, 2015factForm ADV
→ SII INVESTMENTS, INC.Registered adviserregistration: previous registration
Oct 22, 2013 to Dec 31, 2014factForm ADV
→ PRUCO SECURITIES, LLCRegistered adviserregistration: previous registration
Jan 29, 2013 to Oct 8, 2013factForm ADV

Dated events

Occurred
Oct 7, 2022
Advisor changed firm
Lisa Eileen Dregne left Global View Capital Management Llc for Broadview Financial Management, Llc (registered 2022-10-14)
Form ADVobserved 6 days ago