JW
Joseph R. Weinbauer
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES
St Louis, MO 63110-3032
Some features on this profile are disabled
CRD#: 2714070
JW
Professional summary
Joseph Robert Weinbauer is a registered financial advisor currently at BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. located in St Louis, Missouri and BFC PLANNING, INC. located in St. Louis, Missouri.
Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Joseph has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.WEINBAUER FINANCIAL GROUP-Y-ST. LOUIS, MO-FINANCIAL SERVICES-MANAGING PRINCIPAL-01/2008-200-6.5-FINANCIAL, TAX, ACCOUNTING & INSURANCE BUSINESS 2.JOSEPH WEINBAUER-N-INSURANCE-AGENT-08/1995-10-1-FIXED INSURANCE SALES 3.RARE COINS OF NEW HAMPSHIRE-Y-ST. LOUIS, MO-PRECIOUS METALS-SALES REP-05/2011-1-1-THE SALE OF PRECIOUS METALS 4.WEINBAUER PROPERTIES, LLC-N-ST. LOUIS, MO-RENTAL PROPERTY-MANAGING PARTNER-01/2008-2-0-RENTAL PROPERTY MANAGEMENT. 5.St. Louis Junior Invitational-N-St. Louis, MO-Non Profit for Junior Golf-Treasurer-01/2020-2-0-Non Profit to promote junior golf in the St. Louis metropolitan area. Treasurer role for bookkeeping services and paperwork administration for golf participants. 6. Hill Business Association-N-St. Louis, MO-Promotes prosperous local business community-President-01/2022-5-0-Attend meetings and promote membership. 7. NORWOOD HILLS COUNTRY CLUB-N-ST LOUIS, MO-COUNTRY CLUB-BOARD DIRECTOR-12/2022-5-0-ADVISE MANAGEMENT ON CLUB OPERATIONS. 8. Nedda's Inc- N- St. Louis, MO- Food service- Deli- Secretary/Treasurer- 09/2024-40- 0- Shareholder in s-corp that owns the deli, as well as performing bookkeeping and banking for the corporation. 9. Pagano Family 2014 Trust- N- St. Louis, MO- Trust Administration- Trustee- 01/2025- 0- 0- Administration on on trust which includes tax reporting, bank reconciliation, and checking account signing authority for beneficiary distributions.
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Robert Weinbauer's 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®
NoneExperience
Current
February 1, 2010 - Present
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
Office #1: 1930 Edwards Street, St Louis, MO 63110-3032RIA
BD
CRD#: 13609
St Louis, MO
Current
May 24, 2016 - Present
BFC PLANNING, INC.
Office #1: 1930 Edwards St, St. Louis, MO 63110-3032RIA
CRD#: 119682
St. Louis, MO
Current
February 1, 2010 - Present
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
Office #1: 1930 Edwards Street, St Louis, MO 63110-3032RIA
BD
CRD#: 13609
St Louis, MO
Past
January 3, 2008 - February 1, 2010
NATIONAL PLANNING CORPORATION
RIA
CRD#: 29604
ST. LOUIS, MO
Past
October 31, 2007 - February 1, 2010
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
ST. LOUIS, MO
Past
October 1, 2002 - October 30, 2007
AMERICAN GENERAL SECURITIES INCORPORATED
BD
CRD#: 13626
HAZELWOOD, MO
Past
December 12, 1997 - October 1, 2002
AMERICAN GENERAL EQUITY SERVICES CORPORATION
BD
CRD#: 5435
HOUSTON, TX
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
Alabama(11/20/2013)
RR
California(7/30/2013)
RR
Connecticut(10/26/2020)
RR
Florida(2/1/2010)
RR
Georgia(11/13/2012)
RR
Illinois(2/1/2010)
RR
Indiana(1/7/2025)
RR
Louisiana(8/23/2021)
RR
Maryland(7/27/2010)
RR
Mississippi(9/23/2019)
RR
Missouri(2/1/2010)
IAR
Missouri(2/1/2010)
RR
Nevada(1/14/2021)
RR
North Carolina(2/15/2011)
RR
Oklahoma(9/23/2010)
RR
Oregon(3/9/2018)
RR
Tennessee(3/24/2015)
RR
Texas(5/10/2010)
RR
Virginia(7/30/2013)
RR
Washington(4/28/2015)
RR
Wisconsin(7/8/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
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)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
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.
