Jason G. Smith

BFC PLANNING

Mesa, AZ 85201

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CRD#: 2518521

Professional summary

Jason Gregory Smith, CFP®, who also goes by Jason G Smith, is a registered financial advisor currently at BFC PLANNING, INC. located in Mesa, Arizona and BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. located in Mesa, Arizona.

Jason is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Jason has worked at 18 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jason G Smith

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. Jason Smith Insurance-N-Mesa, AZ-Insurance Sales-Agent-11/2019-5-1-Life insurance sales. 2. J. Gregory Smith - Author-N-Mesa, AZ-Self Published Book-Author-06/2020-20-0-Self publishing a book that reviews Genesis 1-11. 3. FedEx- N- Goodyear, AZ- Shipping- 10/2023- 80- 0- Package handling. 4. Mr. Smitty Notes LLC- Mesa, AZ- Owner- 06/2024- 0- 0- LLC S Corp through which IAR fees are received for tax purposes. 5. Liveops- N- Scottsdale, AZ- Insurance Sales- Sales- 09/2025- 40- 0- Taking calls for insurance sales in half hour blocks as I am available.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jason Gregory Smith'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®

CFP^®

Certified Financial Planner

Start date: 2008

Experience

Current

October 17, 2019 - Present

BFC PLANNING, INC.

Office #1: 560 W Brown Rd Suite 3001 3rd Floor, Mesa, AZ, 85201

RIA

CRD#: 119682

Mesa, AZ

Current

October 17, 2019 - Present

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

Office #1: 560 W Brown Rd Suite 3001 3rd Floor, Mesa, AZ, 85201

RIA

CRD#: 13609

Mesa, AZ

Past

March 23, 2011 - September 30, 2019

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

LAVEEN, AZ

Past

February 17, 2011 - September 30, 2019

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

LAVEEN, AZ

Past

October 7, 2009 - March 16, 2011

UNION CAPITAL COMPANY

RIA

CRD#: 110301

LAREEN, AZ

Past

July 31, 2009 - March 16, 2011

UNION CAPITAL COMPANY

CRD#: 110301

TUCSON, AZ

Past

September 24, 2007 - July 23, 2009

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

Past

August 21, 2006 - September 7, 2007

BBVA COMPASS INVESTMENT SOLUTIONS, INC

CRD#: 17086

SURPRISE, AZ

Past

March 30, 2006 - September 20, 2006

OSAIC SERVICES, INC.

CRD#: 133763

MESA, AZ

Past

March 1, 2005 - March 24, 2006

USAA INVESTMENT SERVICES COMPANY

CRD#: 5475

SAN ANTONIO, TX

Past

January 11, 2005 - February 3, 2005

UNION CAPITAL COMPANY

CRD#: 110301

TUCSON, AZ

Past

April 1, 2004 - December 31, 2004

SENTRA SECURITIES CORPORATION

CRD#: 10249

PHOENIX, AZ

Past

January 28, 2004 - February 23, 2004

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

October 7, 2003 - December 2, 2003

FOX & COMPANY INVESTMENTS INC.

CRD#: 18517

SCOTTSDALE, AZ

Past

August 18, 2003 - October 29, 2003

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Past

July 31, 2002 - March 24, 2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

SCOTTSDALE, AZ

Past

July 31, 2002 - March 24, 2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

November 14, 2001 - July 29, 2002

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

May 18, 2001 - November 19, 2001

QUICK & REILLY, INC.

CRD#: 11217

NEW YORK, NY

Past

October 17, 2000 - June 5, 2001

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

October 30, 1998 - September 22, 2000

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

June 14, 1996 - November 3, 1998

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

April 2, 1996 - May 29, 1996

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

October 17, 1994 - January 1, 1996

RONEY & CO. L.L.C.

CRD#: 900

DETROIT, MI

Past

September 1, 1994 - October 24, 1994

CHATFIELD DEAN & CO., INC.

CRD#: 14714

GREENWOOD VILLAGE, CO

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
(10/17/2019)

IAR

Arizona
(10/17/2019)

California
(10/17/2019)

Colorado
(10/17/2019)

Florida
(11/15/2019)

Indiana
(7/14/2025)

Kansas
(10/17/2019)

Maryland
(7/25/2025)

Massachusetts
(8/5/2024)

Michigan
(7/10/2025)

Nevada
(3/4/2024)

South Carolina
(11/15/2019)

Utah
(8/1/2022)

Virginia
(6/30/2020)

Washington
(10/17/2019)

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: 7/14/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/19/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 3/29/2002

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 8/26/1994

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)

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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

Jason G. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jason Gregory Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

UNION CAPITAL COMPANY

UNION CAPITAL COMPANY

MSI FINANCIAL SERVICES, INC.

BBVA COMPASS INVESTMENT SOLUTIONS, INC

OSAIC SERVICES, INC.

USAA INVESTMENT SERVICES COMPANY

UNION CAPITAL COMPANY

SENTRA SECURITIES CORPORATION

CHARLES SCHWAB & CO., INC.

FOX & COMPANY INVESTMENTS INC.

PRUCO SECURITIES, LLC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MORGAN STANLEY DW INC.

QUICK & REILLY, INC.

CHARLES SCHWAB & CO., INC.

MORGAN STANLEY DW INC.

WELLS FARGO CLEARING SERVICES, LLC

CHARLES SCHWAB & CO., INC.

RONEY & CO. L.L.C.

CHATFIELD DEAN & CO., INC.

Primary Firm SEC Registration

BFC PLANNING, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/14/2001

Series 63

Date: 8/19/1994

SIE

Date: 10/1/2018

Series 31

Date: 3/29/2002

Series 7

Date: 8/26/1994

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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