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EC

Enrico G. Cacciapuoti

BFC PLANNING
MONROVIA, CA 91016
Some features on this profile are disabled
CRD#: 2433554
EC

Professional summary

Enrico Giovanni Cacciapuoti, who also goes by Enrico Thomas Caccia, Enrico Caccia, Enrico G Cacciapuoti, Enrico Cacciapuoti, is a registered financial advisor currently at BFC PLANNING, INC. located in Monrovia, California and BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. located in Monrovia, California.

Enrico is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Enrico has worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Enrico Thomas Caccia | Enrico Caccia | Enrico G Cacciapuoti | Enrico Cacciapuoti

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) - RIA

Click below to view Enrico Giovanni Cacciapuoti'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

April 7, 2026 - Present

BFC PLANNING, INC.

Office #1: 635 W Foothill Blvd, Monrovia, CA 91016
RIA
CRD#: 119682
MONROVIA, CA
Current

April 7, 2026 - Present

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

Office #1: 635 W Foothill Blvd, Monrovia, CA 91016
RIA
BD
CRD#: 13609
Monrovia, CA
Past

February 26, 2026 - March 18, 2026

KINGSWOOD WEALTH ADVISORS, LLC

RIA
CRD#: 288792
Monrovia, CA
Past

February 25, 2026 - March 18, 2026

KINGSWOOD CAPITAL PARTNERS, LLC

BD
CRD#: 288898
SAN DIEGO, CA
Past

March 12, 2025 - February 26, 2026

FIRST HEARTLAND CONSULTANTS, INC.

RIA
CRD#: 110377
LOS ANGELES, CA
Past

March 12, 2025 - February 26, 2026

FIRST HEARTLAND CAPITAL, INC.

BD
CRD#: 32460
LOS ANGELES, CA
Past

March 30, 2023 - February 15, 2024

PARK AVENUE SECURITIES LLC

RIA
CRD#: 46173
IRVINE, CA
Past

March 30, 2023 - February 15, 2024

PARK AVENUE SECURITIES LLC

BD
CRD#: 46173
IRVINE, CA
Past

February 5, 2021 - December 31, 2022

CREATIVEONE SECURITIES, LLC

RIA
CRD#: 152974
Santa Monica, CA
Past

February 5, 2021 - December 31, 2022

CREATIVEONE SECURITIES, LLC

BD
CRD#: 152974
Santa Monica, CA
Past

March 18, 2020 - December 31, 2020

CREATIVEONE SECURITIES, LLC

RIA
CRD#: 152974
Santa Monica, CA
Past

March 18, 2020 - December 31, 2020

CREATIVEONE SECURITIES, LLC

BD
CRD#: 152974
Santa Monica, CA
Past

March 29, 2018 - October 28, 2019

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

RIA
CRD#: 611
LOS ANGELES, CA
Past

March 29, 2018 - October 28, 2019

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

BD
CRD#: 611
LOS ANGELES, CA
Past

December 12, 2003 - March 13, 2018

OSAIC WEALTH, INC.

RIA
CRD#: 23131
LOS ANGELES, CA
Past

December 5, 2003 - November 29, 2004

NWF ADVISORY SERVICES INC

RIA
CRD#: 110410
LOS ANGELES, CA
Past

January 14, 1998 - March 13, 2018

OSAIC WEALTH, INC.

BD
CRD#: 23131
LOS ANGELES, CA
Past

October 3, 1994 - January 21, 1998

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
NEW YORK, NY
Past

October 3, 1994 - January 21, 1998

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
SPRINGFIELD, MA
Past

January 28, 1994 - June 21, 1994

SUNAMERICA SECURITIES, INC.

BD
CRD#: 20068
PHOENIX, AZ

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.

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

RR
California
(4/7/2026)
IAR
California
(4/7/2026)

Exams

State Security Law Exam
IAR
Series 65
Date: 11/12/2003
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/24/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/28/2000
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 1/27/1994
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

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)
Loading...

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 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#: 119682Monrovia, CA 91016

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