Jon R. Oneal

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CRD#: 1972890

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.

Jon Robert Oneal was a registered financial professional .

Jon is a previously registered financial professional and started their career in finance in 1991. Jon had worked at 6 firms and has passed the Series 65, Series 63, SIE 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. ANICO-N-SPRINGFIELD, MO-INSURANCE-VP SALES-05/2007-193-150-VICE PRESIDENT IN A MANAGEMENT ROLE. 2. ONE FINANCIAL, INC-Y-CEDAR RAPIDS, IA-SECURITIES BUSINESS-BOARD OF DIRECTOR-01/2018-1-1-ATTEND BOARD OF DIRECTOR MEETINGS AND RESPOND TO CORPORATE RESOLUTIONS.

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®

None

Experience

Past

January 5, 2012 - July 3, 2023

BFC PLANNING, INC.

RIA

CRD#: 119682

Springfield, MO

Past

February 13, 2008 - December 31, 2011

SECURITIES MANAGEMENT & RESEARCH, INC.

RIA

CRD#: 759

Sun City West, AZ

Past

September 10, 2007 - July 3, 2023

SECURITIES MANAGEMENT & RESEARCH, INC.

CRD#: 759

Sun City West, AZ

Past

October 11, 2006 - December 19, 2006

OSAIC FS, INC.

RIA

CRD#: 3870

SCOTTSDALE, AZ

Past

May 30, 2006 - December 19, 2006

OSAIC FS, INC.

CRD#: 3870

SCOTTSDALE, AZ

Past

May 31, 2001 - April 17, 2006

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

CRD#: 611

OMAHA, NE

Past

January 26, 2001 - March 28, 2001

WS GRIFFITH SECURITIES, INC.

CRD#: 10410

HARTFORD, CT

Past

January 29, 1998 - February 7, 2001

PRINCIPAL SECURITIES, INC.

CRD#: 1137

DES MOINES, IA

Past

August 28, 1991 - February 23, 1996

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

CRD#: 611

OMAHA, NE

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: 9/14/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/19/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 8/26/1991

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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Advisor Monitoring

Firm Stability Insights

Jon R. Oneal

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SECURITIES MANAGEMENT & RESEARCH, INC.

SECURITIES MANAGEMENT & RESEARCH, INC.

OSAIC FS, INC.

OSAIC FS, INC.

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

WS GRIFFITH SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

Primary Firm SEC Registration

BFC PLANNING, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/14/2006

Series 63

Date: 7/19/1991

SIE

Date: 10/1/2018

Series 6

Date: 8/26/1991

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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