Lori A. Clem

BFC PLANNING

Carrollton, TX

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CRD#: 1145827

Professional summary

Lori Ann Clem, who also goes by Lori Ann Taylor Collins, Lori Ann Taylor, is a registered financial advisor currently at BFC PLANNING, INC. located in Carrollton, Texas and BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. located in Carrollton, Texas.

Lori is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Lori has worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Lori Ann Taylor Collins | Lori Ann Taylor

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1.1639 Parker Road MGT, LLC-N-Carrollton, TX-Land Owner-Owner-08/2014-0-0-Own land for possible future cemetery 2.Clem's Ye Olde Homestead Farms-N-Carrollton, TX-Family Limited Partnership-Officer-10/1992-3-3-Family Limited Partnership 3.Clem Business Ventures, LLC-N-Carrollton, TX-Title of Family Limited Partnership-Manager-08/2014-0-0-This is the title of the Family Limited Partnership. All businesses run through this Partnership 4.Toothacres-N-Carrollton, TX-Pet Care Center-Owner-08/2014-10-0-Pet Care Center, Boarding Facility and Pet Cemetery 5.CLH Management, LLC-N-Carrollton, TX-Entity-Owner-08/2014-0-0-This is an entity group that has zero assets and no business is conducted w/in the entity 6.International Order of T Roosevelt-N-Carrollton, TX-Check writing authority-Treasurer-08/2017-3-0-Check Writing Authority for foundation 7.Lori A. Clem-N-Carrollton, TX-Insurance Sales-Agent-12/2019-3-1-Meeting w/ clients to help purchase Term Life Insurance. 8.Weatherby Foundation-N-Carrollton, TX-Annual Fundraising Foundation-Board Member-01/2020-1-0-Board of Directors, the Weatherby's host an Annual Fundraiser for various charities. 9. Song Dog Development- N- Carrollton, TX- Property development- Co-owner- 01/2022- 5- 0- Land venture to develop and sell properties.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lori Ann Clem's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

November 15, 2017 - Present

BFC PLANNING, INC.

RIA

CRD#: 119682

Carrollton, TX

Current

July 18, 2017 - Present

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

RIA

CRD#: 13609

Carrollton, TX

Past

November 21, 2008 - July 17, 2017

WFG ADVISORS, LP

RIA

CRD#: 125073

CARROLLTON, TX

Past

October 6, 2000 - November 18, 2008

WFG INVESTMENTS, INC.

RIA

CRD#: 22704

CARROLLTON, TX

Past

October 6, 2000 - July 17, 2017

WFG INVESTMENTS, INC.

CRD#: 22704

CARROLLTON, TX

Past

June 4, 1998 - December 1, 2000

NORTHSTAR SECURITIES, INC.

CRD#: 11247

DALLAS, TX

Past

January 22, 1996 - December 9, 1998

DOMINION CAPITAL CORPORATION

CRD#: 18837

DALLAS, TX

Past

October 7, 1994 - October 30, 1995

NATIONAL CLEARING CORP.

CRD#: 14343

SHERMAN OAKS, CA

Past

June 27, 1994 - September 20, 1994

GAINEY FINANCIAL SERVICES, INC.

CRD#: 27968

SCOTTSDALE, AZ

Past

April 5, 1994 - July 11, 1994

REYNOLDS KENDRICK STRATTON, INC.

CRD#: 10414

Past

November 25, 1991 - July 2, 1992

KAVANAUGH SECURITIES, INC.

CRD#: 10606

DALLAS, TX

Past

April 11, 1991 - December 3, 1991

FIDELITY EQUITY SERVICES CORPORATION

CRD#: 17455

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

BFC PLANNING, INC.

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

CRD#: 119682 / SEC#: 801-67427

RIA

Registered Investment Advisory firm - (1/3/2007 Approved)

Iowa

Registered Investment Advisory firm - (3/5/2007 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(7/18/2017)

Florida
(7/19/2017)

Georgia
(7/25/2017)

Louisiana
(10/19/2017)

New York
(7/26/2017)

Oklahoma
(11/9/2020)

Texas
(7/19/2017)

IAR

Texas
(11/15/2017)

Virginia
(11/10/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/15/2001

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/19/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/10/1991

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/31/1991

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

BFC PLANNING, INC.

CRD#: 119682 / SEC#: 801-67427

RIA

Registered Investment Advisory firm - (1/3/2007 Approved)

Iowa

Registered Investment Advisory firm - (3/5/2007 Terminated)

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Contact information

Main Address

4201 42nd Street Ne Suite 100, Cedar Rapids, IA 52402

Mailing Address

Phone number

(319) 447-5700

Established

Firm type

Fiscal year end

# of Employees

200

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BFC PLANNING ADV PART 2 (3/26/2025)

Regulatory assets under management

Total Number of Accounts	8,756
AUM (Assets Under Management)	$ 2,026,848,859

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Lori A. Clem

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lori Ann Clem's CRS (Customer Relationship Summary).

Certified licenses

Experience

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

WFG ADVISORS, LP

WFG INVESTMENTS, INC.

WFG INVESTMENTS, INC.

NORTHSTAR SECURITIES, INC.

DOMINION CAPITAL CORPORATION

NATIONAL CLEARING CORP.

GAINEY FINANCIAL SERVICES, INC.

REYNOLDS KENDRICK STRATTON, INC.

KAVANAUGH SECURITIES, INC.

FIDELITY EQUITY SERVICES CORPORATION

Primary Firm SEC Registration

BFC PLANNING, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 10/15/2001

Series 63

Date: 4/19/1994

SIE

Date: 10/1/2018

Series 7

Date: 4/10/1991

Series 24

Date: 7/31/1991

FINRA

Current Firm

BFC PLANNING, INC.

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BFC PLANNING, INC.

TRUST BUT VERIFY

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