Matthew J. Palazzolo

BFC PLANNING

Webster Groves, MO 63119

Some features on this profile are disabled

CRD#: 2851383

Professional summary

Matthew John Palazzolo is a registered financial advisor currently at BFC PLANNING, INC. located in Webster Groves, Missouri and BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. located in Webster Groves, Missouri.

Matthew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Matthew has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 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. Webster Groves Masonic Lodge #84-Fraternal Organization-Noble/Brother-1/2000-16 hrs-4 hrs-Raise awareness of children's health. 2. Palazzolo & Associates-Y-75 W Lockwood Ave Ste B1, Webster Groves, MO 63119-DBA-Registered Representative-03/09-120 hrs-100 hrs-Provide transactional investment accounts for clients. 3. Palazzolo & Associates-Y-75 W Lockwood Ave, Webster Groves, MO 63119-Insurance Sales-Principal-3/1/2009-10 to 15 hrs - 10 hrs.- Oversee management of clients, manage 8 independent agents 4.Connect to Docs Telemedicine Product-N-Webster Groves, MO-Marketing-President-1-1-Marketing of Telemedicine Products through sales, websites, newspaper ads for individuals and groups of telemedicine services 5.Social Fraternal Organization for Children-N-Webster Groves, MN-Child Awareness-Noble/Brother-01/2000-2-0-Social organization to raise awareness for children's health 6.Matthew Palazzolo Insurance-N-Webster Groves, MO-Insurance Sales-Agent-05/2018-15-2-Sell Life Insurance, Disability & Longterm Care insurance.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Matthew John Palazzolo'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

January 4, 2017 - Present

BFC PLANNING, INC.

Office #1: 75 W Lockwood Suite B1, Webster Groves, MO 63119

RIA

CRD#: 119682

Webster Groves, MO

Current

January 3, 2017 - Present

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

Office #1: 75 W Lockwood Ave Suite B1, Webster Groves, MO 63119

RIA

CRD#: 13609

Webster Groves, MO

Past

October 27, 2009 - December 31, 2016

TLG ADVISORS, INC.

RIA

CRD#: 111052

WEBSTER GROVES, MO

Past

October 1, 2009 - December 31, 2016

THE LEADERS GROUP, INC.

CRD#: 37157

SUMMIT, NJ

Past

March 3, 2009 - October 1, 2009

FIRST HEARTLAND CONSULTANTS, INC.

RIA

CRD#: 110377

LAKE SAINT LOUIS, MO

Past

March 2, 2009 - October 1, 2009

FIRST HEARTLAND CAPITAL, INC.

CRD#: 32460

ST LOUIS, MO

Past

March 21, 2007 - February 6, 2009

FIFTH THIRD SECURITIES, INC.

RIA

CRD#: 628

ST. LOUIS, MO

Past

March 21, 2007 - February 6, 2009

FIFTH THIRD SECURITIES, INC.

CRD#: 628

ST. LOUIS, MO

Past

July 22, 2002 - March 6, 2007

COMMERCE BROKERAGE SERVICES, INC.

RIA

CRD#: 17140

SAINT LOUIS, MO

Past

August 28, 1998 - March 6, 2007

COMMERCE BROKERAGE SERVICES, INC.

CRD#: 17140

SAINT LOUIS, MO

Past

April 16, 1997 - August 19, 1998

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

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
(5/28/2020)

Illinois
(1/3/2017)

Missouri
(1/3/2017)

IAR

Missouri
(1/4/2017)

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: 5/14/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/8/1997

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: 5/16/1997

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 4/15/1997

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)

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

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.

Similar Advisors

Aaron Ungerer

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

IAR

Frontenac, MO

Dalton Stockton

WELLS FARGO CLEARING SERVICES, LLC

IAR

ST. LOUIS, MO

George Simon

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

IAR

Chesterfield, MO

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Matthew J. Palazzolo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Matthew John Palazzolo's CRS (Customer Relationship Summary).

Certified licenses

Experience

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

TLG ADVISORS, INC.

THE LEADERS GROUP, INC.

FIRST HEARTLAND CONSULTANTS, INC.

FIRST HEARTLAND CAPITAL, INC.

FIFTH THIRD SECURITIES, INC.

FIFTH THIRD SECURITIES, INC.

COMMERCE BROKERAGE SERVICES, INC.

COMMERCE BROKERAGE SERVICES, INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

BFC PLANNING, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/14/1997

Series 63

Date: 5/8/1997

SIE

Date: 10/1/2018

Series 31

Date: 5/16/1997

Series 7

Date: 4/15/1997

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

Similar Advisors