James H. Diffly

BFC PLANNING

Cumming, GA 30040

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CRD#: 1251341

Professional summary

James Hubbard Diffly, who also goes by Bard Diffly, James Hurrard Diffly, is a registered financial advisor currently at BFC PLANNING, INC. located in Cumming, Georgia and BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. located in Cumming, Georgia.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. James has worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Bard Diffly | James Hurrard Diffly

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.Trendline Trading & Investments, LLC-Y-Cumming, GA-Securities-President-09/2007-150-8-Provide investment advice, commodities trading, stocks, bonds and general securities business 2.Trendline Trading-N-Cumming, GA-Commodities-President-09/2007-100-6-Commodities, futures and options trading done through ADM Investor Services 3.Baseball Umpiring-N-Cumming, GA-Baseball/Softball Umpiring-Umpire-02/2005-10-0-Certified baseball and softball umpire for Georgia High School.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Hubbard Diffly'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

December 15, 2016 - Present

BFC PLANNING, INC.

Office #1: 5830 Bond Street Suite 300, Cumming, GA 30040

RIA

CRD#: 119682

Cumming, GA

Current

December 14, 2016 - Present

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

Office #1: 5830 Bond Street Suite 300, Cumming, GA 30040

RIA

CRD#: 13609

Cumming, GA

Past

September 1, 2016 - December 14, 2016

SUMMIT FINANCIAL GROUP INC

RIA

CRD#: 109485

CUMMING, GA

Past

September 1, 2016 - December 14, 2016

SUMMIT BROKERAGE SERVICES, INC.

CRD#: 34643

CUMMING, GA

Past

October 16, 2007 - September 1, 2016

VSR FINANCIAL SERVICES, INC.

RIA

CRD#: 14503

CUMMING, GA

Past

October 1, 2007 - September 1, 2016

VSR FINANCIAL SERVICES, INC.

CRD#: 14503

CUMMING, GA

Past

September 26, 2003 - September 25, 2007

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

ALPHARETTA, GA

Past

September 26, 2003 - September 25, 2007

UBS FINANCIAL SERVICES INC.

CRD#: 8174

ALPHARETTA, GA

Past

March 26, 2003 - October 13, 2003

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

ALPHARETTA, GA

Past

September 8, 1992 - October 13, 2003

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

August 20, 1985 - September 23, 1992

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

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

Alabama
(12/14/2016)

Florida
(1/22/2018)

Georgia
(12/14/2016)

IAR

Georgia
(12/15/2016)

Maryland
(6/6/2018)

Massachusetts
(11/17/2020)

Mississippi
(12/14/2016)

New Mexico
(9/23/2024)

North Carolina
(9/12/2024)

South Carolina
(6/3/2021)

Tennessee
(10/10/2023)

Texas
(1/27/2023)

Washington
(12/14/2016)

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

Series 63

Date: 9/4/1985

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: 8/17/1985

General Securities Representative 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

James H. Diffly

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Hubbard Diffly's CRS (Customer Relationship Summary).

Certified licenses

Experience

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

SUMMIT FINANCIAL GROUP INC

SUMMIT BROKERAGE SERVICES, INC.

VSR FINANCIAL SERVICES, INC.

VSR FINANCIAL SERVICES, INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

PRUDENTIAL EQUITY GROUP, LLC

Primary Firm SEC Registration

BFC PLANNING, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/4/1985

SIE

Date: 10/1/2018

Series 7

Date: 8/17/1985

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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