William C. Sines

BFC PLANNING

Seminole, FL 33772

Some features on this profile are disabled

CRD#: 2190586

Professional summary

William Charles Sines, who also goes by Bill Sines, William Sines, is a registered financial advisor currently at BFC PLANNING, INC. located in Seminole, Florida and BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. located in Seminole, Florida.

William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. William has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 22, Series 62, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Bill Sines | William Sines

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.Senior Financial Services-Y-Seminole, FL-DBA for securities-Owner-01/2002-160-130-Brokerage and Investment Advisory Services. 2.William Sines-N-Seminole, FL-Rental Property-Owner-08/2002-1-1-Manage 3 rental units. 3.Senior Financial Services-N-Seminole, FL-Taxes-Owner-01/2007-2-15-Tax preparation. 4.Senior Financial Services- N- Seminole, FL- Fixed Insurance- 06/2018-1- 1- Sales and servicing of insurance products.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Charles Sines's CRS (Customer Relationship Summary).

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®

None

Experience

Current

July 17, 2018 - Present

BFC PLANNING, INC.

Office #1: 8269 113th Street, Seminole, FL 33772

RIA

CRD#: 119682

Seminole, FL

Current

June 29, 2018 - Present

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

Office #1: 8269 113th Street, Seminole, FL 33772

RIA

CRD#: 13609

Seminole, FL

Past

September 15, 2015 - June 28, 2018

KALOS MANAGEMENT

RIA

CRD#: 133025

SEMINOLE, FL

Past

August 24, 2015 - June 28, 2018

KALOS CAPITAL, INC.

CRD#: 44337

Seminole, FL

Past

September 26, 1997 - August 24, 2015

SII INVESTMENTS, INC.

RIA

CRD#: 2225

SEMINOLE, FL

Past

September 20, 1997 - August 24, 2015

SII INVESTMENTS, INC.

CRD#: 2225

SEMINOLE, FL

Past

November 1, 1991 - December 10, 1993

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

CRD#: 680

NEWARK, NJ

Past

November 1, 1991 - June 26, 1997

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Florida
(7/2/2018)

IAR

Florida
(7/17/2018)

Michigan
(7/3/2018)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/17/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/12/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 22

Date: 8/19/2018

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 62

Date: 7/27/1998

Corporate Securities Limited Representative Examination

General Industry/Product Exam

Series 6

Date: 10/31/1991

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/16/1999

General Securities Principal Examination

SRO Registrations

FINRA

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)

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

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.

Similar Advisors

John Valencia

LPL FINANCIAL LLC

IAR

LARGO, FL

Lee Gorgas

CHARLES SCHWAB & CO., INC.

IAR

Tampa, FL

Anita Cepeda

MORGAN STANLEY

Tampa, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

William C. Sines

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Charles Sines's CRS (Customer Relationship Summary).

Certified licenses

Experience

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

KALOS MANAGEMENT

KALOS CAPITAL, INC.

SII INVESTMENTS, INC.

SII INVESTMENTS, INC.

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

BFC PLANNING, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/17/1999

Series 63

Date: 4/12/1994

SIE

Date: 10/1/2018

Series 22

Date: 8/19/2018

Series 62

Date: 7/27/1998

Series 6

Date: 10/31/1991

Series 24

Date: 9/16/1999

FINRA

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

Similar Advisors