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Herald F. Bennett

Some features on this profile are disabled
CRD#: 2317754
HB

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.

Herald Francis Bennett, who also goes by Chip Bennett, was a registered financial professional .

Herald is a previously registered financial professional and started their career in finance in 1993. Herald had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Chip Bennett

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.
The advisor shows no other business activity.

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 10, 2012 - April 2, 2018

BFC PLANNING, INC.

RIA
CRD#: 119682
CHARLES TOWN, WV
Past

September 15, 2006 - January 10, 2012

SECURITIES MANAGEMENT & RESEARCH, INC.

RIA
CRD#: 759
CHARLES TOWN, WV
Past

April 6, 2005 - April 2, 2018

SECURITIES MANAGEMENT & RESEARCH, INC.

BD
CRD#: 759
CHARLES TOWN, WV
Past

August 16, 2002 - April 25, 2005

AMERICAN PORTFOLIOS ADVISORS, INC

RIA
CRD#: 112697
HOLBROOK,, NY
Past

September 7, 2001 - April 14, 2005

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

BD
CRD#: 18487
HOLBROOK, NY
Past

February 1, 1999 - September 17, 2001

NATHAN & LEWIS SECURITIES, INC.

BD
CRD#: 8503
NEW YORK, NY
Past

February 3, 1993 - February 4, 1999

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

BD
CRD#: 2580
FORT WAYNE, IN
Past

February 3, 1993 - February 4, 1999

OSAIC FA, INC.

BD
CRD#: 3978
FORT WAYNE, IN

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".
BP
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)

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.

Exams

State Security Law Exam
IAR
Series 65
Date: 9/16/1996
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/1/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 4/2/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/23/2001
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 2/1/1993
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 4/26/2005
Investment Company Products/Variable Contracts Principal Examination

Current Firm

BP
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)
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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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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 Accounts8,756
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.

Company Information

BFC PLANNING, INC.

CRD#: 119682

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