Steven C. Lee

BFC PLANNING

LAKE FOREST, IL

Some features on this profile are disabled

CRD#: 2307532

Professional summary

Steven Chiachan Lee, who also goes by Steven C C Lee, Steven Chia Chan Lee, is a registered financial advisor currently at BFC PLANNING, INC. located in Lake Forest, Illinois and BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. located in Lake Forest, Illinois.

Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Steven has worked at 8 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Steven C C Lee | Steven Chia Chan Lee

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. TAIWANESE AMERICAN CHAMBER OF COMMERCE OF GREATER CHICAGO-N-LAKE FOREST, IL-CHAMBER OF COMMERCE-PRESIDENT-7/2013-10-2-HELP CHAMBER OF COMMERCE AND HOST EVENTS. 2. LEE K. STEVEN INVESTMENT LLC-Y-LAKE FOREST, IL-LLC-REGISTERED REP-1/2015-160-130-USED FOR ACCOUNTING PURPOSES. 3.Overseas Community Affairs Council-N-Lake Forest, IL-Community Service-Advisor-02/2020-1-1-Community Service for Taiwanese Govt. 4. WJO 2020 LEGACY TRUST-N-LAKE FOREST, IL-TRUSTEE-11/2020-0-0-TRUSTEE FOR FRIEND'S TRUST.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Chiachan Lee'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

January 12, 2016 - Present

BFC PLANNING, INC.

RIA

CRD#: 119682

LAKE FOREST, IL

Current

June 4, 2003 - Present

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

RIA

CRD#: 13609

LAKE FOREST, IL

Past

April 3, 2001 - June 9, 2003

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

March 2, 1998 - April 9, 2001

RBC CAPITAL MARKETS, LLC

CRD#: 31194

NEW YORK, NY

Past

July 23, 1997 - March 2, 1998

DAIN RAUSCHER INCORPORATED

CRD#: 7600

Past

July 3, 1995 - July 24, 1997

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Past

November 18, 1994 - August 28, 1995

RODMAN & RENSHAW INC.

CRD#: 724

CHICAGO, IL

Past

October 12, 1993 - June 15, 1994

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

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

California
(6/4/2003)

Colorado
(6/30/2003)

Illinois
(6/4/2003)

IAR

Illinois
(1/12/2016)

Iowa
(3/16/2016)

Maryland
(4/28/2014)

Massachusetts
(5/12/2004)

Nevada
(1/10/2012)

New Jersey
(6/4/2003)

New York
(3/20/2015)

North Carolina
(8/22/2025)

Ohio
(3/9/2006)

Texas
(6/4/2003)

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 66

Date: 1/2/2016

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/22/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/22/1993

General Securities Representative 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

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Steven C. Lee

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Chiachan Lee's CRS (Customer Relationship Summary).

Certified licenses

Experience

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

WELLS FARGO CLEARING SERVICES, LLC

RBC CAPITAL MARKETS, LLC

DAIN RAUSCHER INCORPORATED

A. G. EDWARDS & SONS, INC.

RODMAN & RENSHAW INC.

PRUDENTIAL EQUITY GROUP, LLC

Primary Firm SEC Registration

BFC PLANNING, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 1/2/2016

Series 63

Date: 11/22/1994

SIE

Date: 10/1/2018

Series 7

Date: 9/22/1993

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