RB
Richard R. Buller
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES
MUSCATINE, IA 52761
Some features on this profile are disabled
CRD#: 1511922
RB
Professional summary
Richard Ralph Buller is a registered financial advisor currently at BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. located in Muscatine, Iowa and BFC PLANNING, INC. located in Muscatine, Iowa.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Richard has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 6 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. RICK BULLER INCOME TAX CONSULTING-N- MUSCATINE, IA-INCOME TAX-OWNER-01/1991-20-0-PREPARE TAX RETURNS. 2. Rick Buller Financial Services LLC- Y- Muscatine, IA- DBA for securities business- Owner- 07/2014- 0- 0- Sell and advise on investments. 3. Boy Scouts of America-N-Burlington, IA-Board member-04/2018-0-0- Help with fund raising. 4. Rick Buller Insurance-N-Muscatine, IA-Insurance Sales-Agent-10/2018-10-0-Life Insurance sales.
CRS (Client Relationship Summary) - RIA
Click below to view Richard Ralph Buller'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
October 28, 2004 - Present
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
Office #1: 615 Cedar Street Ste A, Muscatine, IA 52761RIA
BD
CRD#: 13609
MUSCATINE, IA
Current
June 10, 2016 - Present
BFC PLANNING, INC.
Office #1: 615 Cedar Street Ste A, Muscatine, IA 52761RIA
CRD#: 119682
MUSCATINE, IA
Current
August 30, 2004 - Present
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
Office #1: 615 Cedar Street Ste A, Muscatine, IA 52761RIA
BD
CRD#: 13609
MUSCATINE, IA
Past
October 11, 2001 - September 1, 2004
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, GA
Past
April 28, 1998 - December 22, 2000
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
June 12, 1986 - July 27, 1988
PFS INVESTMENTS INC.
BD
CRD#: 10111
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
Arizona(1/2/2008)
RR
Arkansas(4/30/2024)
RR
California(1/2/2025)
RR
Colorado(1/2/2008)
RR
Florida(6/20/2005)
RR
Hawaii(8/14/2020)
RR
Idaho(9/1/2023)
RR
Illinois(2/22/2005)
RR
Iowa(8/30/2004)
IAR
Iowa(10/28/2004)
RR
Kansas(4/24/2024)
RR
Michigan(1/2/2014)
RR
Minnesota(2/9/2012)
RR
Missouri(3/24/2008)
RR
Nebraska(7/8/2024)
RR
Oregon(1/20/2015)
RR
Pennsylvania(10/30/2019)
RR
Texas(1/2/2008)
RR
Utah(7/14/2015)
RR
Virginia(8/16/2012)
RR
Washington(8/21/2024)
RR
Wisconsin(1/2/2008)
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
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
Company Information
BFC PLANNING, INC.
CRD#: 119682Muscatine, IA 52761TRUST BUT VERIFY
Monitor Richard Buller
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
