Dennis M. Fearing

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CRD#: 1288339

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.

Dennis Michael Fearing was a registered financial professional .

Dennis is a previously registered financial professional and started their career in finance in 1984. Dennis had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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

October 9, 2017 - February 19, 2021

BFC PLANNING, INC.

RIA

CRD#: 119682

Coleraine, MN

Past

June 30, 2011 - February 19, 2021

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

RIA

CRD#: 13609

COLERAINE, MN

Past

June 20, 2011 - February 19, 2021

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

CRD#: 13609

COLERAINE, MN

Past

March 7, 2011 - June 21, 2011

NORTHLAND SECURITIES, INC.

RIA

CRD#: 40258

COLERAINE, MN

Past

June 17, 2008 - June 21, 2011

NORTHLAND SECURITIES, INC.

CRD#: 40258

COLERAINE, MN

Past

January 24, 2006 - June 13, 2008

ASSOCIATED FINANCIAL SERVICES, INC.

CRD#: 1121

COLERAINE, MN

Past

August 11, 2004 - November 29, 2005

FINTEGRA, LLC

CRD#: 16741

MINNEAPOLIS, MN

Past

May 27, 1997 - August 3, 2004

HUNTINGDON SECURITIES CORPORATION

CRD#: 16497

MINOT, ND

Past

May 17, 1997 - June 2, 1997

AMERICAN INVESTMENT SERVICES, INC.

CRD#: 21111

OKLAHOMA CITY, OK

Past

June 12, 1996 - May 17, 1997

VARIABLE ASSET STRATEGIES, INC.

CRD#: 37027

GREENWOOD VILLAGE, CO

Past

January 3, 1986 - December 24, 1986

AMERICAN EXPRESS FINANCIAL CORPORATION

CRD#: 6320

Past

August 28, 1984 - June 14, 1996

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

August 28, 1984 - June 14, 1996

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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: 3/5/2011

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/28/1984

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: 9/19/1987

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/27/1984

Investment Company Products/Variable Contracts Representative 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

Dennis M. Fearing

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

NORTHLAND SECURITIES, INC.

NORTHLAND SECURITIES, INC.

ASSOCIATED FINANCIAL SERVICES, INC.

FINTEGRA, LLC

HUNTINGDON SECURITIES CORPORATION

AMERICAN INVESTMENT SERVICES, INC.

VARIABLE ASSET STRATEGIES, INC.

AMERICAN EXPRESS FINANCIAL CORPORATION

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

BFC PLANNING, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/5/2011

Series 63

Date: 8/28/1984

SIE

Date: 10/1/2018

Series 7

Date: 9/19/1987

Series 6

Date: 8/27/1984

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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