FK
Farrukh S. Kazmi
BFC PLANNING
MOORESTOWN, NJ
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CRD#: 2855915
FK
Professional summary
Farrukh Shazad Kazmi is a registered financial advisor currently at BFC PLANNING, INC. located in Moorestown, New Jersey and BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. located in Moorestown, New Jersey.
Farrukh is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Farrukh has worked at 7 firms and has passed the Series 65, Series 63, Series 7TO, 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. A&S ASSET MANAGEMENT-Y-MARLTON, NJ-SECURITIES-FINANCIAL ADVISOR-02/2010-160-160-FINANCIAL ADVISING. 2. ASL Associates LLC-N-Moorestown, NJ-Manage real estate building-Managing member-5/2018-2-0-Manage real estate building. 3. 570 Egg Harbor Rd, LLC-N-Moorestown, NJ-Medical Office Building-Member/Investor-10/2019-5-5-Investor in a medical office building. 4. 602 Sherman Ave LLC-N-Moorestown, NJ-Medical Office-Investor/Member-01/2021-5-0-Investor in a Medical Office. 5. 1291 W Sherman Ave LLC-N-Vineland, NJ-Office building-Member/Partner-12/2021-5-5-Manage office building property. 6. 901 Black Horse Pike LLC- N- Turnersville, NJ- Real Estate- Partner/Property Manager- 1/2025- 5- 0- Manage rental property. 7. 310 Egg Harbor Rd LLC- N- Sewell, NJ- Property management- Owner/Manager- 11/2018- 2- 0- Manage rental property.
CRS (Client Relationship Summary) - RIA
Click below to view Farrukh Shazad Kazmi'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
October 3, 2022 - Present
BFC PLANNING, INC.
RIA
CRD#: 119682
MOORESTOWN, NJ
Current
January 5, 2010 - Present
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
RIA
BD
CRD#: 13609
Moorestown, NJ
Past
April 1, 2008 - January 5, 2010
BRIGHT TRADING, LLC
BD
CRD#: 34702
HENDERSON, NV
Past
September 11, 2003 - March 23, 2005
STONEX SECURITIES INC.
BD
CRD#: 18456
BIRMINGHAM, AL
Past
September 29, 1999 - July 31, 2002
CANTELLA & CO., INC.
BD
CRD#: 13905
MALDEN, MA
Past
January 11, 1999 - August 17, 1999
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
ST. PETERSBURG, FL
Past
May 30, 1997 - February 19, 1999
MORGAN STANLEY DW INC.
BD
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".
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(10/16/2019)
RR
Georgia(7/3/2012)
RR
Maryland(5/7/2020)
RR
New Jersey(1/6/2010)
IAR
New Jersey(10/3/2022)
RR
New York(4/1/2014)
RR
Pennsylvania(2/1/2010)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
