SS
Stuart L. Seffrood
BFC PLANNING
Monroe, WI 53566
Some features on this profile are disabled
CRD#: 2833021
SS
Professional summary
Stuart Lee Seffrood is a registered financial advisor currently at BFC PLANNING, INC. located in Monroe, Wisconsin and BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. located in Monroe, Wisconsin.
Stuart is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Stuart has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 3, 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.Seffrood Wealth Management-Y-Monroe, WI-Securites-Owner7/2012-140-8-Securities 2.Seffrood Heifer Ranch-N-Monroe, WI-Ranch/Farming-Owner-01/1998-2-0-Care for cattle, raise crops, make management decisions along w/ everyday operations 3.Seffrood Heifer Ranch-N-Monroe, WI-Commodities-Owner-08/2012-3-0-The ACCT is for hedging the farm crops. Buy puts and calls along w/ futures to hedge the cost of raising cattle and grains. 4.AttenBabler-N-Monroe, WI-Commodities-Registered Representative-11/2016-70-3-Commodities trading through ADM. 5.ECollegePro-Y-Monroe, WI-Help parents and students organize assets to help qualify for scholarships and colleges-College Planner-9/2017-5-1-Charging fee to put college plans together for families. 6.Stuart Seffrood-N-Monroe, WI-Sell Term Insurance-Agent-01/2019-1-1-Sell Term Insurance. 7.KSSS Rentals, Inc.-N-Monroe, WI-Oversee Activities of the house-Owner-04/2021-3-1-Oversee the activities of the house. Making sure the rent is paid and maintenance is being done. 8. Stuart Seffrood-Y-Monroe, WI-Life insurance sales-Agent-10/2021-1-1-Sell life insurance. 9. KSS Rentals, LLC- N- Monroe, WI- House rental- Owner- 04/2022- 2- 0- Part owner of rental house. 10. Seffrood Land, LLC- N- South Wayne, WI- Owner- 07/2022- 5- 0- Own and rent land.
CRS (Client Relationship Summary) - RIA
Click below to view Stuart Lee Seffrood'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
November 10, 2016 - Present
BFC PLANNING, INC.
Office #1: 1505 9th Street, Monroe, WI 53566RIA
CRD#: 119682
Monroe, WI
Current
November 10, 2016 - Present
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
Office #1: 1505 9th Street, Monroe, WI 53566RIA
BD
CRD#: 13609
Monroe, WI
Past
May 31, 2012 - November 30, 2016
LPL FINANCIAL LLC
RIA
CRD#: 6413
MONROE, WI
Past
May 31, 2012 - November 30, 2016
LPL FINANCIAL LLC
BD
CRD#: 6413
MONROE, WI
Past
March 21, 2007 - June 4, 2012
EDWARD JONES
RIA
CRD#: 250
BRODHEAD, WI
Past
March 7, 2007 - June 4, 2012
EDWARD JONES
BD
CRD#: 250
BRODHEAD, WI
Past
January 17, 2006 - January 4, 2007
FFP ADVISORY SERVICES INC
RIA
CRD#: 110778
ARGYLE, WI
Past
January 17, 2006 - January 4, 2007
FFP SECURITIES, INC.
BD
CRD#: 16337
ARGYLE, WI
Past
June 10, 2004 - January 23, 2006
AMERICAN GENERAL SECURITIES INCORPORATED
RIA
CRD#: 13626
WARREN, IL
Past
October 1, 2002 - January 23, 2006
AMERICAN GENERAL SECURITIES INCORPORATED
BD
CRD#: 13626
WARREN, IL
Past
January 7, 2002 - October 1, 2002
AMERICAN GENERAL EQUITY SERVICES CORPORATION
BD
CRD#: 5435
HOUSTON, TX
Past
March 5, 1998 - December 13, 2001
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
California(11/10/2016)
RR
Illinois(11/10/2016)
RR
Indiana(2/7/2024)
RR
Iowa(11/7/2018)
RR
Kansas(10/29/2019)
RR
Minnesota(11/10/2016)
RR
Missouri(11/10/2016)
RR
Montana(11/19/2024)
RR
Wisconsin(11/10/2016)
IAR
Wisconsin(11/10/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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
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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
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.
