Thomas G. Gresham

BFC PLANNING

CEDAR RAPIDS, IA 52402

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CRD#: 229641

Professional summary

Thomas G Gresham, who also goes by Tom Gresham, is a registered financial advisor currently at BFC PLANNING, INC. located in Cedar Rapids, Iowa and BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. located in Overland Park, Kansas.

Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1970. Thomas has worked at 13 firms and has passed the Series 63, Series 7TO, SIE, Series 5, PC, Series 000, Series 1 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tom Gresham

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.

OWNER AND PRESIDENT, GRESHAM GROUP, LLC, DBA FOR SECURITIES AND ADVISORY ACTIVITIES. SECURITIES AND INVESTMENTS OFFERED THROUGH MOLONEY SECURITIES CO., INC.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas G Gresham'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

December 5, 2025 - Present

BFC PLANNING, INC.

Office #1: 4201 42nd Street Ne Suite 100, Cedar Rapids, IA 52402

RIA

CRD#: 119682

CEDAR RAPIDS, IA

Current

December 5, 2025 - Present

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

Office #1: 7101 College Blvd #720, Overland Park, KS 66210

RIA

CRD#: 13609

OVERLAND PARK, KS

Past

December 20, 2016 - December 5, 2025

MOLONEY SECURITIES ASSET MANAGEMENT LLC

RIA

CRD#: 282448

Overland Park, KS

Past

February 16, 2016 - December 31, 2016

MOLONEY INVESTMENT ADVISORY LLC

RIA

CRD#: 282140

LEAWOOD, KS

Past

September 13, 2012 - April 13, 2016

MOLONEY SECURITIES CO., INC.

RIA

CRD#: 38535

OVERLAND PARK, KS

Past

July 10, 2012 - December 5, 2025

MOLONEY SECURITIES CO., INC.

CRD#: 38535

OVERLAND PARK, KS

Past

October 31, 2008 - May 23, 2012

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

LEAWOOD, KS

Past

October 31, 2008 - May 23, 2012

UBS FINANCIAL SERVICES INC.

CRD#: 8174

LEAWOOD, KS

Past

October 1, 1999 - October 31, 2008

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

KANSAS CITY, MO

Past

October 1, 1999 - October 31, 2008

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

KANSAS CITY, MO

Past

August 19, 1996 - October 1, 1999

FIRST UNION CAPITAL MARKETS CORP.

CRD#: 6124

CHARLOTTE, NC

Past

September 26, 1988 - August 29, 1996

RODMAN & RENSHAW INC.

CRD#: 724

CHICAGO, IL

Past

April 15, 1983 - October 3, 1988

DREXEL BURNHAM LAMBERT INCORPORATED

CRD#: 7323

Past

January 31, 1980 - May 4, 1983

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Past

November 14, 1972 - January 31, 1980

BLYTH EASTMAN DILLON & CO. INCORPORATED

CRD#: 6361

Past

October 17, 1972 - November 14, 1972

EASTMAN DILLON, UNION SECURITIES & CO., INCORPORATED

CRD#: 243

Past

July 22, 1970 - November 19, 1972

RAUSCHER PIERCE SECURITIES CORPORATION

CRD#: 704

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

Arizona
(12/5/2025)

California
(12/5/2025)

Florida
(12/8/2025)

Kansas
(12/5/2025)

IAR

Kansas
(12/5/2025)

Maryland
(12/5/2025)

Missouri
(12/5/2025)

Texas
(12/5/2025)

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

Series 63

Date: 11/5/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 5

Date: 12/12/1981

Interest Rate Options Examination

General Industry/Product Exam

PC

Date: 7/12/1977

AMEX Put and Call Exam

General Industry/Product Exam

Series 000

Date: 1/14/1969

General Securities Principal Examination

General Industry/Product Exam

Series 1

Date: 1/14/1969

Registered Representative Examination

Principal/Supervisory Exam

Series 8

Date: 6/10/1997

General Securities Sales Supervisor Examination (Options Module & General Module)

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)

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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

Thomas G. Gresham

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas G Gresham's CRS (Customer Relationship Summary).

Certified licenses

Experience

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

MOLONEY SECURITIES ASSET MANAGEMENT LLC

MOLONEY INVESTMENT ADVISORY LLC

MOLONEY SECURITIES CO., INC.

MOLONEY SECURITIES CO., INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

FIRST UNION CAPITAL MARKETS CORP.

RODMAN & RENSHAW INC.

DREXEL BURNHAM LAMBERT INCORPORATED

UBS FINANCIAL SERVICES INC.

BLYTH EASTMAN DILLON & CO. INCORPORATED

EASTMAN DILLON, UNION SECURITIES & CO., INCORPORATED

RAUSCHER PIERCE SECURITIES CORPORATION

Primary Firm SEC Registration

BFC PLANNING, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 11/5/1982

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 5

Date: 12/12/1981

PC

Date: 7/12/1977

Series 000

Date: 1/14/1969

Series 1

Date: 1/14/1969

Series 8

Date: 6/10/1997

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

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