James Robert Caldwell

Employer firm

Bfc Planning, Inc. CRD 119682

$3.84B regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 09/2015 → 02/2019
  Securities America Inc
  Bismarck, ND
• 09/2015 → 02/2019
  Securities America Advisors
  Bismarck, ND
• 02/2019 → Present
  Berthel Fisher & Company Financial Services, Inc.
  Bismarck, ND
• 02/2019 → Present
  Bfc Planning, Inc.
  Bismarck, ND

Previous Registrations

• 2015-09-14 → 2019-02-07
  Securities America Advisors, Inc.
  Bismarck, ND
  Bismarck, ND
• 2012-09-05 → 2015-09-15
  Curian Capital, Llc
  Denver, CO

Other Businesses

1. Freedom Financial Group-Y-Bismarck, ND-Securities and Insurance-Registered Representative-02/2019-180-80-Sale of Securities, Insurance, Brokerage business. 2. Notary-N-Bismarck, ND-Notary Public-Notary-01/2020-1-1-Notarizing documents for clients in the state of ND. 3. Hallett Financial Group-N-Bismarck, ND-Insurance Sales-Insurance Agent-02/2019-160-160-Insurance consulting including Life, Disability and LTC. 4. JMN Roots LLC-N-Bismarck, ND-Manage Property-Manager-05/2021-5-2-Manage property, collect rent, pay expenses, property maintenance and obtain financing.

Exams

• S66 Uniform Combined State Law Examination
  2012-09-04

Other Names

• Jay Caldwell
• James Robert Caldwell
• James Robert Caldwell
• James Robert Caldwell