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Current Employers
Bfc Planning, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2013-12-11
  • IL RA
    APPROVED
    Since 2013-12-11

Branch Locations

1021 North Galena, Dixon, IL 61021 • United States

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

Disclosures

1 disclosure category 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 No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Berthel, Fisher & Company Financial Services, Inc. Marion IA 03/2003 Present
Bfc Planning, Inc Dixon IL 12/2013 Present
  • 03/2003 → Present
    Berthel, Fisher & Company Financial Services, Inc.
    Marion, IA
  • 12/2013 → Present
    Dixon, IL
Previous Registrations
  • 1998-11-24 → 2003-03-31
    Continental Capital Investment Services, Inc.
    Dixon, IL
Other Businesses

1.COMMUNITY ILLINOIS INVESTMENT SERVICES-Y-DIXON, IL-SECURITIES-REGISTERED REPRESENTATIVE-10/2004-200-140-MARKET INVESTMENT PRODUCTS; 2. Community State Bank-N-Dixon, IL-Life Insurance Sales-Registered Rep-10/2017-1-0-selling life insurance

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-08-07
S63 Uniform Securities Agent State Law Examination 1992-01-10
  • S65 Uniform Investment Adviser Law Examination
    1998-08-07
  • S63 Uniform Securities Agent State Law Examination
    1992-01-10

View on SEC IAPD

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