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Investment Adviser Firm Summary

BFC PLANNING, INC. (CRD# 119682 / SEC# 801-67427)
Alternate Names: BEDROCK INVESTMENT ADVISORS, LLC , BERTHEL FISHER & COMPANY PLANNING, INC. , BFC PLANNING, INC. , GREAT LAKES BAY FINANCIAL

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 01/03/2007
Iowa Terminated 03/05/2007

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 09/04/2014
Alaska 03/10/2014
Arizona 01/09/2012
Arkansas 06/13/2011
California 03/15/2012
Colorado 10/07/2013
Delaware 03/09/2016
Florida 03/15/2013
Georgia 10/28/2011
Hawaii 12/01/2011
Idaho 03/14/2013
Illinois 03/19/2012
Indiana 10/16/2012
Iowa 01/03/2007
Kansas 09/14/2011
Kentucky 03/01/2012
Louisiana 01/16/2014
Massachusetts 03/14/2013
Michigan 11/13/2013
Minnesota 03/14/2013
Mississippi 09/17/2013
Missouri 08/16/2011
Montana 08/20/2013
Nebraska 12/12/2013
Nevada 10/14/2011
New Hampshire 07/26/2011
New Jersey 01/22/2013
New Mexico 05/17/2016
New York 03/14/2013
North Carolina 03/09/2016
North Dakota 04/23/2013
Ohio 01/20/2012
Oklahoma 08/20/2013
Oregon 03/14/2013
Pennsylvania 01/25/2013
South Carolina 02/12/2013
South Dakota 01/11/2013
Tennessee 02/23/2012
Texas 05/02/2011
Utah 05/02/2011
Washington 01/12/2016
West Virginia 05/02/2011
Wisconsin 08/21/2013

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser