John J. Lister

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CRD#: 1593471

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.

John Jasper Lister, CFP® was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1986. John had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 62, Series 22 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.

1. Achievable Wealth- N- Copperas Cove, TX- Partner- 10/2021- 20-20- Real estate rental. 2. John Lister, Inc., P. C.- N- Copperas Cove, TX- President- 12/1988- 65-65- Accounting and tax preparation firm. 3. John Lister, CPA, CFP- Y- Copperas Cove, TX- Owner- 01/1990- 15-15- Sell and service investment products to clients, including insurance and tax services. 4. Henry M. Byorum Trust- N- Copperas Cove, TX- Trustee- 03/2002- 1- 1- File taxes for the trust.

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®

CFP^®

Certified Financial Planner

Start date: 2001

Experience

Past

November 18, 2021 - January 12, 2023

BFC PLANNING, INC.

RIA

CRD#: 119682

COPPERAS COVE, TX

Past

November 18, 2021 - January 12, 2023

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

CRD#: 13609

Copperas Cove, TX

Past

October 25, 2019 - November 24, 2021

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

IRVING, TX

Past

October 25, 2019 - November 24, 2021

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

COPPERAS COVE, TX

Past

September 9, 2011 - October 25, 2019

1ST GLOBAL ADVISORS INC

RIA

CRD#: 111133

COPPERAS COVE, TX

Past

September 1, 2011 - October 25, 2019

1ST GLOBAL CAPITAL CORP.

CRD#: 30349

COPPERAS COVE, TX

Past

August 3, 2007 - September 13, 2011

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

COPPERAS COVE, TX

Past

July 24, 2000 - August 2, 2007

1ST GLOBAL ADVISORS INC

RIA

CRD#: 111133

COPPERAS COVE, TX

Past

August 23, 1993 - August 2, 2007

1ST GLOBAL CAPITAL CORP.

CRD#: 30349

COPPERAS COVE, TX

Past

December 17, 1986 - August 11, 1993

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

DALLAS, TX

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: 7/28/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/15/1986

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: 9/4/1998

General Securities Representative Examination

General Industry/Product Exam

Series 62

Date: 11/17/1989

Corporate Securities Limited Representative Examination

General Industry/Product Exam

Series 22

Date: 12/15/1986

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 12/15/1986

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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Firm Stability Insights

John J. Lister

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

1ST GLOBAL ADVISORS INC

1ST GLOBAL CAPITAL CORP.

AVANTAX INVESTMENT SERVICES, INC.

1ST GLOBAL ADVISORS INC

1ST GLOBAL CAPITAL CORP.

AVANTAX INVESTMENT SERVICES, INC.

Primary Firm SEC Registration

BFC PLANNING, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/28/1999

Series 63

Date: 12/15/1986

SIE

Date: 10/1/2018

Series 7

Date: 9/4/1998

Series 62

Date: 11/17/1989

Series 22

Date: 12/15/1986

Series 6

Date: 12/15/1986

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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