PG
Paul L. Goenner
BFC PLANNING
Clear Lake, MN
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CRD#: 2856681
PG
Professional summary
Paul Leonard Goenner is a registered financial advisor currently at BFC PLANNING, INC. located in Clear Lake, Minnesota and SECURITIES MANAGEMENT & RESEARCH, INC. located in Clear Lake, Minnesota.
Paul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Paul has worked at 7 firms and has passed the Series 65, Series 63, SIE 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. TOWNSHIP OF CLEAR LAKE-N-CLEAR LAKE, MN-LOCAL GOVERNMENT-TREASURER-03/1977-5-0-MAINTAIN TREASURY - RECEIVE AND DISBURSE FUNDS, BALANCE ACCOUNTS TO BANK, ACCOUNT FOR ALL FUNDS RECEIVED AND DISBURSED. ALL DISBURSEMENTS REQUIRE TOWNSHIP OF CLEAR LAKE BOARD APPROVAL AND THREE SIGNATURES. 2. ST. MARCUS CEMETERY BOARD-N-CLEAR LAKE, MN-CEMETERY BOARD-TREASURER-10/2010-1-0-MAINTAIN TREASURY - RECEIVE AND DISBURSE FUNDS, BALANCE ACCOUNTS. ALL DISBURSEMENTS REQUIRE BOARD APPROVAL AND TWO SIGNATURES. 3. CREATIVE ONE-N-LEAWOOD, KS-INSURANCE MARKETING ORGANIZATION-AGENT-02/2019-70-70-MARKET FIXED INSURANCE PRODUCTS. 4. IFC NATIONAL MARKETING, INC.-N-FAIRMONT, MN-INSURANCE MARKETING ORGANIZATION-AGENT-06/2014-10-10-MARKET AND IMPLEMENT FIXED INSURANCE. 5. INSURAND WEALTH PLANNING-N-CLEAR LAKE, MN-DBA NAME FOR INVESTMENT & INSURANCE BUSINESS-OWNER-11/2017-160-160-FINANCIAL PLANNING, INVESTMENTS, INSURANCE. 6. MARY KAY COSMETICS- N- CLEAR LAKE, MN- ASSISTANT- 09/2023- 15- 0- ASSISTING WITH WIFE'S COSMETIC BUSINESS.
CRS (Client Relationship Summary) - RIA
Click below to view Paul Leonard Goenner'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
January 17, 2018 - Present
BFC PLANNING, INC.
RIA
CRD#: 119682
Clear Lake, MN
Current
January 17, 2018 - Present
SECURITIES MANAGEMENT & RESEARCH, INC.
BD
CRD#: 759
Clear Lake, MN
Past
April 7, 2016 - December 31, 2017
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
RIA
CRD#: 15708
Clear Lake, MN
Past
April 7, 2016 - December 31, 2017
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
Clear Lake, MN
Past
November 12, 2010 - April 13, 2016
THE STRATEGIC FINANCIAL ALLIANCE, INC.
RIA
CRD#: 126514
BLOOMINGTON, MN
Past
November 12, 2010 - April 13, 2016
THE STRATEGIC FINANCIAL ALLIANCE, INC.
BD
CRD#: 126514
BLOOMINGTON, MN
Past
June 26, 2009 - November 8, 2010
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
CLEAR LAKE, MN
Past
June 26, 2008 - July 8, 2009
UNITED EQUITY SECURITIES, LLC
BD
CRD#: 47261
HUSTON, TX
Past
May 23, 1997 - May 6, 2008
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, GA
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
Colorado(8/24/2021)
RR
Minnesota(1/17/2018)
IAR
Minnesota(1/17/2018)
RR
Wisconsin(1/17/2018)
Exams
State Security Law Exam
State Security Law 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.
