Richard B. Stephens

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CRD#: 1211706

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Richard Burl Stephens, who also goes by Rick Stephens, was a registered financial professional .

Richard is a previously registered financial professional and started their career in finance in 1984. Richard had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Rick Stephens

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 7, 2011 - December 31, 2016

BFC PLANNING, INC.

RIA

CRD#: 119682

LULA, GA

Past

November 4, 2011 - December 31, 2016

SECURITIES MANAGEMENT & RESEARCH, INC.

CRD#: 759

LULA, GA

Past

January 25, 2008 - October 30, 2009

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

LULA, GA

Past

March 14, 2007 - October 30, 2009

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

LULA, GA

Past

October 14, 2005 - March 15, 2007

THE O.N. EQUITY SALES COMPANY

CRD#: 2936

CINCINNATI, OH

Past

March 12, 2004 - October 28, 2005

UNDERWRITERS EQUITY CORPORATION

CRD#: 36537

HARRISBURG, PA

Past

September 16, 1996 - April 10, 2002

WMA SECURITIES, INC.

CRD#: 32625

DULUTH, GA

Past

February 15, 1994 - August 23, 1996

KEOGLER, MORGAN & COMPANY, INC.

CRD#: 16546

ATLANTA, GA

Past

April 23, 1990 - December 4, 1993

AMERICAN GENERAL SECURITIES INCORPORATED

CRD#: 13626

PHOENIX, AZ

Past

November 19, 1989 - March 29, 1990

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

March 15, 1988 - November 19, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

August 15, 1984 - November 5, 1986

LABREC SECURITIES, INC.

CRD#: 10473

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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/15/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/30/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/31/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/16/1988

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 8/14/1984

Direct Participation Programs Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/30/1999

General Securities Principal Examination

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

Richard B. Stephens

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SECURITIES MANAGEMENT & RESEARCH, INC.

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

THE O.N. EQUITY SALES COMPANY

UNDERWRITERS EQUITY CORPORATION

WMA SECURITIES, INC.

KEOGLER, MORGAN & COMPANY, INC.

AMERICAN GENERAL SECURITIES INCORPORATED

OSAIC WEALTH, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

LABREC SECURITIES, INC.

Primary Firm SEC Registration

BFC PLANNING, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/15/2002

Series 63

Date: 11/30/1984

SIE

Date: 12/31/2016

Series 7

Date: 7/16/1988

Series 22

Date: 8/14/1984

Series 24

Date: 4/30/1999

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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