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TP

Thomas Parkin

BFC PLANNING
CEDAR RAPIDS, IA 52402
CRD#: 2974077
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TP
Thomas ParkinBFC PLANNING

Professional summary

Thomas Parkin, who also goes by Tom Parkin, Thomas Brian Parkin, is a registered financial advisor currently at BFC PLANNING, INC. located in Cedar Rapids, Iowa and BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. located in Cedar Rapids, Iowa.

Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Thomas has worked at 17 firms and has passed the Series 66, Series 63, SIE, Series 52, Series 7, Series 53, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Tom Parkin | Thomas Brian Parkin

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Parkin'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

June 4, 2026 - Present

BFC PLANNING, INC.

Office #1: 4201 42nd Street Ne Suite 100, Cedar Rapids, IA 52402
RIA
CRD#: 119682
CEDAR RAPIDS, IA
Current

June 3, 2026 - Present

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

Office #1: 4201 42nd Street Ne Suite 100, Cedar Rapids, IA 52402
RIA
BD
CRD#: 13609
CEDAR RAPIDS, IA
Current

June 3, 2026 - Present

SECURITIES MANAGEMENT & RESEARCH, INC.

Office #1: 4201 42nd Street Ne Suite 100, Cedar Rapids, IA 52402
BD
CRD#: 759
CEDAR RAPIDS, IA
Past

July 16, 2024 - December 18, 2025

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA
CRD#: 11025
Salt Lake City, UT
Past

May 8, 2023 - December 18, 2025

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

BD
CRD#: 11025
ST. LOUIS, MO
Past

August 24, 2021 - December 18, 2025

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
SALT LAKE CITY, UT
Past

August 24, 2021 - December 18, 2025

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

March 20, 2019 - September 20, 2019

FBL WEALTH MANAGEMENT, LLC

RIA
CRD#: 291396
West Des Moines, IA
Past

March 19, 2019 - September 20, 2019

FBL MARKETING SERVICES, LLC

BD
CRD#: 5309
WEST DES MOINES, IA
Past

November 30, 2016 - July 19, 2018

ALLEGIS INVESTMENT ADVISORS, LLC

RIA
CRD#: 157314
South jordan, UT
Past

November 30, 2016 - February 25, 2019

ALLEGIS INVESTMENT SERVICES, LLC

BD
CRD#: 168557
SOUTH JORDAN, UT
Past

March 14, 2016 - May 18, 2016

HORACE MANN INVESTORS, INC.

BD
CRD#: 11643
SPRINGFIELD, IL
Past

February 15, 2012 - October 16, 2012

ALPINE SECURITIES CORPORATION

BD
CRD#: 14952
SALT LAKE CITY, UT
Past

November 20, 2007 - December 7, 2011

ALLSTATE FINANCIAL SERVICES, LLC

BD
CRD#: 18272
MURRAY, UT
Past

August 1, 2007 - December 18, 2007

REGAL ADVISORY SERVICES, INC.

RIA
CRD#: 123842
GLENVIEW, IL
Past

July 31, 2007 - January 2, 2008

REGAL SECURITIES, INC.

BD
CRD#: 7297
SOUTH JORDAN, UT
Past

May 18, 2007 - July 20, 2007

BROOKSTREET SECURITIES CORPORATION

BD
CRD#: 14667
SOUTH JORDAN, UT
Past

May 14, 1999 - March 13, 2000

MORGAN STANLEY DEAN WITTER ONLINE INC.

BD
CRD#: 34925
SAN FRANCISCO, CA
Past

December 15, 1997 - April 1, 1999

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
SMITHFIELD, RI

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
Iowa
(6/11/2026)
RR
Utah
(6/4/2026)
IAR
Utah
(6/4/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 4/11/2016
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 12/22/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 52
Date: 8/24/2017
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 3/14/2016
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 9/25/2017
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 1/13/2017
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/29/2016
General Securities Principal Examination
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)
Loading...

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 Accounts8,756
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.

Company Information

BFC PLANNING, INC.

CRD#: 119682Cedar Rapids, IA 52402

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