SB
Scott C. Barcomb
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES
Sarasota, FL 34231
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CRD#: 1369573
SB
Professional summary
Scott Callis Barcomb is a registered financial advisor currently at BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. located in Sarasota, Florida and BFC PLANNING, INC. located in Sarasota, Florida.
Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Scott has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 3 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1.BARCOMB ASSET MANAGEMENT-Y-SARASOTA, FL-INVESTMENTS-FOUNDER/OWNER-05/2014-140-140-PROVIDE INVESTMENT ADVICE 2.AUTHOR OF BLACK ROCK-N-SARASOTA, FL-AUTHOR-WRITER-01/1995-1-0-AUTHOR OF BLACK ROCK 3.BARCOMB ASSET MANAGEMENT-N-SARASOTA, FL-INSURANCE-FOUNDER/OWNER-10/1999-40-40-INSURANCE SERVICES. 4.Treasurer for Pine Park Office Condo Association-N-Sarasota, FL-Provide a voice and opinion regarding my office condo association budget-Treasurer-02/2019-1-0-To provide a voice and opinion regarding my office condo association budgets and expenditures and to vote on the annual budget.
CRS (Client Relationship Summary) - RIA
Click below to view Scott Callis Barcomb's 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®
NoneExperience
Current
September 6, 2003 - Present
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
Office #1: 7093 S. Tamiami Trail, Sarasota, FL 34231RIA
BD
CRD#: 13609
Sarasota, FL
Current
October 8, 2021 - Present
BFC PLANNING, INC.
Office #1: 7093 S. Tamiami Trail, Sarasota, FL 34231RIA
CRD#: 119682
Sarasota, FL
Current
March 31, 2003 - Present
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
Office #1: 7093 S. Tamiami Trail, Sarasota, FL 34231RIA
BD
CRD#: 13609
Sarasota, FL
Past
September 26, 2000 - April 3, 2003
CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.
RIA
CRD#: 2864
SARASOTA, FL
Past
August 25, 2000 - March 31, 2003
CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.
BD
CRD#: 2864
BRYAN, OH
Past
October 21, 1999 - June 26, 2000
SICOR SECURITIES INC
BD
CRD#: 16195
DAYTON, OH
Past
August 11, 1994 - January 17, 1997
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
February 4, 1988 - July 28, 1994
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
June 21, 1985 - March 24, 1988
E. F. HUTTON & COMPANY INC
BD
CRD#: 235
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".
BP
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)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.RR
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
RR
Alabama(7/19/2022)
RR
Arizona(7/29/2025)
RR
California(7/29/2004)
RR
Colorado(7/31/2008)
RR
Connecticut(3/31/2003)
RR
Florida(4/3/2003)
IAR
Florida(9/6/2003)
RR
Georgia(3/24/2008)
RR
Illinois(3/31/2003)
RR
Indiana(6/20/2007)
RR
Iowa(1/14/2025)
RR
Louisiana(12/8/2023)
RR
Maine(6/22/2017)
RR
Massachusetts(3/31/2003)
RR
Michigan(1/5/2021)
RR
Nevada(7/6/2021)
RR
New Hampshire(3/26/2020)
RR
New Jersey(3/25/2020)
RR
New York(1/15/2009)
RR
North Carolina(10/2/2007)
RR
Ohio(4/12/2005)
RR
Oklahoma(2/9/2022)
RR
Pennsylvania(5/17/2005)
RR
Rhode Island(7/28/2020)
RR
South Carolina(6/5/2015)
RR
Tennessee(7/9/2020)
RR
Texas(9/18/2008)
RR
Virginia(6/10/2008)
RR
Washington(6/28/2018)
RR
West Virginia(11/18/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
BP
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)Upgrade to AdvisorCheck Premium
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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
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.
