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Current Employers
Bfc Planning, Inc.

4201 42Nd Street Ne Suite 100, Cedar Rapids, IA 52402 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2019-01-02
  • CA RA
    APPROVED
    Since 2019-01-02

Branch Locations

Pine Mountain Club, CA • United States

4201 42Nd Street Ne Suite 100, Cedar Rapids, IA 52402 • United States

Berthel, Fisher & Company Financial Services, Inc.

4201 42Nd Street Ne Suite 100, Cedar Rapids, IA 52402 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2005-06-20
  • CA RA
    APPROVED
    Since 2005-06-20

Branch Locations

24907 Avenue Tibbitts Suite B, 2Nd Floor, Valencia, CA 91355 • United States

Pine Mountain Club, CA • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien Yes
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Berthel, Fisher & Company Financial Services, Inc. Pine Mountain Club CA 03/2003 Present
Bfc Planning, Inc. Pine Mountain Club CA 01/2019 Present
Other Businesses

1.1ST LIBERTY FINANCIAL-N-PINE MOUNTAIN CLUB, CA-INSURANCE-PRESIDENT-05/2004-10-2-SELL LIFE/LTC/DI and some Health and supplemental (AFLAC) Insurance to clients 2.1ST LIBERTY FINANCIAL SECURITIES-Y-PINE MOUNTAIN CLUB, UT-SECURITIES-PRESIDENT-03/2002-160-160-BUSINESS NAME UNDER WHICH SECURITIES BUSINESS IS CONDUCTED 3.1ST LIBERTY FINANCIAL BUSINESS CONSULTANT-N-PINE MOUNTAIN CLUB, CA-BUSINESS CONSULTANT/TRAINER-PRESIDENT-05/1999-10-2-PROVIDE TRAINING, CONSULTING AND WORKSHOPS RELATED TO SERVICE SKILLS, BUSINESS BUDGETING AND PLANNING 4.Lois E Gough Lopez-FITNESS CONSULTANT-N-PINE MOUNTAIN CLUB, CA-FITNESS CONSULTANT-TRAINER-06/1985-10-2-PROVIDE INDIVIDUAL AND GROUP FITNESS TRAINING AND CLASSES 5.Sunset d'Silva-N-Pine Mountain Club, CA-Story Teller-Writer/Author-12/2016-5-0-Stories for publication, contests and audio publication. Mostly fictional work. 6.Insurance Sales-N-Pine Mountain Club, CA-Insurance sales-Independent Agent-11/2018-1-0-Life, Health, LTC and Disability insurance sales. 7. Lois Lopez- N- Pine Mountain Club, CA- PhotoArt- Sole Proprietor- 09/2024- 10- 0- Selling artwork through an online storefront.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-06-17
S63 Uniform Securities Agent State Law Examination 2000-03-06
  • S65 Uniform Investment Adviser Law Examination
    2005-06-17
  • S63 Uniform Securities Agent State Law Examination
    2000-03-06
Other Names
  • Lois E. Gough
  • Lois E Gough Lopez
  • Lois E Lopez

View on SEC IAPD

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