SW
Suzanne M. Wagner
BFC PLANNING
Cedar Rapids, IA 52402
Some features on this profile are disabled
CRD#: 1852685
SW
Professional summary
Suzanne Marie Wagner, who also goes by Suzanne Marie Butz, is a registered financial advisor currently at BFC PLANNING, INC. located in Cedar Rapids, Iowa and BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. located in Cedar Rapids, Iowa.
Suzanne is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Suzanne has worked at 2 firms and has passed the Series 65, Series 63, Series 62, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Suzanne Marie Butz
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. SUZANNE WAGNER-N- CEDAR RAPIDS, IA 52302-INSURANCE-INSURANCE REP-1/1988-0-0-SELL TERM INSURANCE TO CLIENTS WHEN THEY NEED IT. 2.Wagner Investment Group-N-Cedar Rapids, IA-Financial Services-Registered Representative-02/2020-160-160-DBA name for Financial Services & Planning.
CRS (Client Relationship Summary) - RIA
Click below to view Suzanne Marie Wagner'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
May 16, 2016 - Present
BFC PLANNING, INC.
Office #1: 4201 42nd Street Suite 100, Cedar Rapids, IA 52402RIA
CRD#: 119682
Cedar Rapids, IA
Current
June 13, 1990 - Present
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
Office #1: 4201 42nd Street Ne, Suite 100 Box 11340, Cedar Rapids, IA 52410-1340RIA
BD
CRD#: 13609
Cedar Rapids, IA
Past
January 1, 2001 - May 12, 2016
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
RIA
CRD#: 13609
MARION, IA
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(2/26/2010)
RR
California(1/4/1996)
RR
Colorado(9/2/1999)
RR
Florida(1/4/2011)
RR
Georgia(8/6/2018)
RR
Illinois(1/4/1996)
RR
Indiana(7/5/2016)
RR
Iowa(6/14/1990)
IAR
Iowa(5/16/2016)
RR
Kansas(1/6/2022)
RR
Kentucky(6/19/2014)
RR
Louisiana(4/3/2020)
RR
Maine(8/26/2025)
RR
Massachusetts(6/22/2023)
RR
Michigan(11/7/2025)
RR
Minnesota(5/25/1993)
RR
Missouri(1/26/2000)
RR
Nebraska(7/15/2025)
RR
Nevada(12/14/2021)
RR
New Jersey(10/18/2024)
RR
New York(9/30/2022)
RR
Ohio(2/4/2020)
RR
Oklahoma(1/8/2025)
RR
Pennsylvania(8/26/2014)
RR
South Carolina(6/17/2021)
RR
Tennessee(1/12/2021)
RR
Texas(7/13/1998)
RR
Virginia(8/19/2016)
RR
Washington(2/25/2019)
RR
Wisconsin(1/30/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 62
Date: 1/2/2023
Corporate Securities Limited Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
