Anthony E. Buford

BFC PLANNING

ATCHISON, KS 66002

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CRD#: 2301335

Professional summary

Anthony Edward Buford, who also goes by Tony Buford, is a registered financial advisor currently at BFC PLANNING, INC. located in Atchison, Kansas and BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. located in Atchison, Kansas.

Anthony is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Anthony has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tony Buford

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.Crosspointe Community Church-N-Atchison, KS-Ministerial-Teaching Pastor-08/1982-30-10-Ministerial 2.Anthony Buford Insurance-N-Atchison, KS-Insurance Sales-Agent-09/2016-10-10-Life and Health Insurance sales. 3.Construction Management-N-Atchison, KS-Construction Supervision-Manager-05/2020-10-5-Supervise the construction of shop/house.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Anthony Edward Buford'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

November 8, 2016 - Present

BFC PLANNING, INC.

Office #1: 107 N 6th St Suite 1, Atchison, KS 66002

RIA

CRD#: 119682

ATCHISON, KS

Current

December 19, 2016 - Present

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

Office #1: 107 N 6th St Suite 1, Atchison, KS 66002Office #2: 1211 N. Belt Hwy Suite 302, St. Joseph, MO 64506

RIA

CRD#: 13609

ATCHISON, KS

Current

November 17, 2016 - Present

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

Office #1: 107 N 6th St Suite 1, Atchison, KS 66002

RIA

CRD#: 13609

ATCHISON, KS

Past

February 23, 2005 - February 23, 2009

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

ST. JOSEPH, MO

Past

June 13, 2000 - January 18, 2005

NATIONWIDE INVESTMENT SERVICES CORPORATION

CRD#: 7110

COLUMBUS, OH

Past

November 10, 1998 - June 2, 2000

MIDWEST CAPITAL MANAGEMENT INC.

CRD#: 39880

OVERLAND PARK, KS

Past

February 19, 1997 - November 25, 1998

UMB FINANCIAL SERVICES, INC.

CRD#: 17073

KANSAS CITY, MO

Past

August 10, 1993 - March 6, 1997

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

ST. CLOUD, MN

Past

March 4, 1993 - July 23, 1993

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

March 4, 1993 - July 23, 1993

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

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

Iowa
(8/27/2024)

IAR

Kansas
(11/8/2016)

Kansas
(11/17/2016)

Minnesota
(9/6/2023)

Missouri
(11/17/2016)

New York
(11/21/2024)

Oklahoma
(11/20/2024)

Texas
(11/21/2024)

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: 10/13/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/13/2016

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/2/2017

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/17/2016

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 8/2/2002

Investment Company Products/Variable Contracts 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)

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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

Anthony E. Buford

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Anthony Edward Buford's CRS (Customer Relationship Summary).

Certified licenses

Experience

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

CAPITAL BROKERAGE CORPORATION

NATIONWIDE INVESTMENT SERVICES CORPORATION

MIDWEST CAPITAL MANAGEMENT INC.

UMB FINANCIAL SERVICES, INC.

CETERA INVESTMENT SERVICES LLC

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

BFC PLANNING, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/13/2016

Series 63

Date: 10/13/2016

SIE

Date: 10/1/2018

Series 7

Date: 3/2/2017

Series 6

Date: 11/17/2016

Series 26

Date: 8/2/2002

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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