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Investment Adviser Firm Summary
BFC PLANNING, INC. ( CRD # 119682/SEC#:801-67427 )
1ST & MAIN INVESTMENT ADVISORS - ADVISORY SERVICES OFFERED THROUGH BFC PLANNING, INC., GREAT LAKES BAY FINANCIAL, BFC PLANNING, INC., BERTHEL FISHER & COMPANY PLANNING, INC., BEDROCK INVESTMENT ADVISORS, LLC
View latest Form ADV filedPart 2 BrochuresPart 3 Relationship Summary

The adviser's REGISTRATION status is listed below.

REGISTRATION STATUS
SEC / JURISDICTION
REGISTRATION STATUS
EFFECTIVE DATE
SECApproved1/3/2007
IowaTerminated3/5/2007
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.

JURISDICTIONEFFECTIVE DATE
Alabama9/4/2014
Alaska3/10/2014
Arizona1/9/2012
Arkansas6/13/2011
California3/15/2012
Colorado10/7/2013
Connecticut11/8/2019
Delaware3/9/2016
District of Columbia11/8/2019
Florida3/15/2013
Georgia10/28/2011
Hawaii12/1/2011
Idaho3/14/2013
Illinois3/19/2012
Indiana10/16/2012
Iowa1/3/2007
Kansas9/14/2011
Kentucky3/1/2012
Louisiana1/16/2014
Maine11/8/2019
Maryland11/8/2019
Massachusetts3/14/2013
Michigan11/13/2013
Minnesota3/14/2013
Mississippi9/17/2013
Missouri8/16/2011
Montana8/20/2013
Nebraska12/12/2013
Nevada10/14/2011
New Hampshire7/26/2011
New Jersey1/22/2013
New Mexico5/17/2016
New York3/14/2013
North Carolina3/9/2016
North Dakota4/23/2013
Ohio1/20/2012
Oklahoma8/20/2013
Oregon3/14/2013
Pennsylvania1/25/2013
Rhode Island11/8/2019
South Carolina2/12/2013
South Dakota1/11/2013
Tennessee2/23/2012
Texas5/2/2011
Utah5/2/2011
Vermont11/8/2019
Virginia11/8/2019
Washington1/12/2016
West Virginia5/2/2011
Wisconsin8/21/2013
Wyoming11/8/2019
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
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.