DI
Dudley M. Irwin
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES
Edwards, CO 81632
Some features on this profile are disabled
CRD#: 1622162
DI
Professional summary
Dudley Marvin Irwin II is a registered financial advisor currently at BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. located in Edwards, Colorado and BFC PLANNING, INC. located in Edwards, Colorado.
Dudley is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Dudley has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 31 and Series 7 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.
1.1ST & MAIN LLP-Y-EDWARDS, CO-INVESTMENT ADVICE-ADVISOR-1/2006-400-120-INVESTMENT PLANNING FOR CLIENTS 2.DMI INVESTMENTS, LLC-Y-EDWARDS, CO-INVESTMENTS-PARTNER-1/2006-400-150-MANAGING ACCOUNTS FOR CLIENTS 3.1ST & MAIN INVESTMENT ADVISORS-Y-EDWARDS, CO-INVESTMENTS-FINANCIAL ADVISOR-01/2006-160-150-INVESTMENTS, ADVISING & PLANNING FOR CLIENTS 4.William Irwin-N-Edwards, CO-POA for fathers finances-10/2016-2-0-POA for William Irwin's finances 5.Eagle City School-N-Edwards, CO-Oversee Cities Funds-Board Member-02/2017-1-0-Nominated for Board member to oversee the city funds allocated to teacher salaries, tech updates and improvements. 6. Niwot Rotary- N- Niwot, CO- Member- 03/2022- 1-0- Member of non-profit service organization. 7. New Hardt Water Company- N- Longmont, CO- Treasurer- 03/2023- 2- 0- Collect annual dues and file financial reports for neighborhood irrigation company.
CRS (Client Relationship Summary) - RIA
Click below to view Dudley Marvin Irwin II'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
January 19, 2006 - Present
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
Office #1: 97 Main Street W 103, Edwards, CO 81632RIA
BD
CRD#: 13609
Edwards, CO
Current
June 15, 2016 - Present
BFC PLANNING, INC.
Office #1: 97 Main Street W 103, Edwards, CO 81632RIA
CRD#: 119682
Edwards, CO
Current
January 19, 2006 - Present
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
Office #1: 97 Main Street W 103, Edwards, CO 81632RIA
BD
CRD#: 13609
Edwards, CO
Past
March 3, 2003 - January 20, 2006
WELLS FARGO INVESTMENTS, LLC
RIA
CRD#: 10582
EAGLE, CO
Past
March 3, 2003 - January 20, 2006
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
SAN FRANCISCO, CA
Past
January 1, 1999 - March 7, 2003
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
DENVER, CO
Past
July 7, 1994 - March 7, 2003
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
January 29, 1991 - July 22, 1994
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
September 4, 1990 - January 30, 1991
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
April 6, 1987 - September 4, 1990
BOETTCHER & COMPANY, INC.
BD
CRD#: 101
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(11/8/2012)
RR
Arizona(8/22/2022)
RR
California(5/20/2015)
RR
Colorado(1/19/2006)
IAR
Colorado(1/19/2006)
RR
Florida(9/4/2015)
RR
Georgia(7/13/2015)
RR
Idaho(2/9/2021)
RR
Iowa(1/30/2020)
RR
Michigan(1/27/2021)
RR
Minnesota(4/16/2020)
RR
Missouri(12/1/2020)
RR
New Mexico(1/10/2017)
RR
New York(7/31/2025)
RR
North Carolina(1/27/2015)
RR
South Carolina(5/20/2009)
RR
Wisconsin(3/29/2021)
Exams
State Security Law Exam
State Security Law 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
