Richard J. Horvath

BFC PLANNING

BOARDMAN, OH 44512

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CRD#: 2986519

Professional summary

Richard J Horvath, who also goes by Richard John Horvath, Rick J Horvath, Rick Horvath, is a registered financial advisor currently at BFC PLANNING, INC. located in Boardman, Ohio and BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. located in Boardman, Ohio.

Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Richard has worked at 9 firms and has passed the SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Richard John Horvath | Rick J Horvath | Rick Horvath

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. AMERICAN FINANCIAL SERVICES-Y-BOARDMAN, OH-DBA FOR SECURITIES-INVESTMENT ADVISOR REPRESENTATIVE-11/2009-200-120-HELP CLIENTS WITH INVESTING & WEALTH MANGEMENT 2. AMERICAN FINANCIAL SERVICES-N-BOARDMAN, OH-FIXED INSURANCE-ADVISOR-11/2009-200-125-FIXED INSURANCE SALES

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard J Horvath'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 31, 2014 - Present

BFC PLANNING, INC.

Office #1: 833 Boardman-canfield Rd Suite 101, Boardman, OH 44512

RIA

CRD#: 119682

BOARDMAN, OH

Current

November 10, 2009 - Present

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

Office #1: 833 Boardman-canfield Road Suite 101, Boardman, OH 44512

RIA

CRD#: 13609

Boardman, OH

Past

January 5, 2010 - January 31, 2014

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

RIA

CRD#: 13609

MANSFIELD, OH

Past

January 23, 2006 - November 11, 2009

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

CORTLAND, OH

Past

August 3, 2004 - January 11, 2006

KESTRA INVESTMENT SERVICES, LLC

RIA

CRD#: 42046

YOUNGSTOWN, OH

Past

August 2, 2004 - January 11, 2006

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

AUSTIN, TX

Past

April 25, 2003 - August 3, 2004

MM ASCEND LIFE INVESTOR SERVICES, LLC

CRD#: 36451

CINCINNATI, OH

Past

February 11, 2003 - October 13, 2003

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

AUSTIN, TX

Past

November 13, 2000 - February 3, 2003

MM ASCEND LIFE INVESTOR SERVICES, LLC

CRD#: 36451

CINCINNATI, OH

Past

January 7, 2000 - November 8, 2000

CHARTER ONE SECURITIES, INC.

CRD#: 13373

CLEVELAND, OH

Past

February 1, 1999 - February 3, 2000

LOCUST STREET SECURITIES, INC.

CRD#: 1703

DES MOINES, IA

Past

January 15, 1998 - December 4, 1998

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

January 15, 1998 - December 4, 1998

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

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

Ohio
(11/10/2009)

IAR

Ohio
(1/31/2014)

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

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 1/14/1998

Investment Company Products/Variable Contracts 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)

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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

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.

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Firm Stability Insights

Richard J. Horvath

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard J Horvath's CRS (Customer Relationship Summary).

Certified licenses

Experience

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

ALLSTATE FINANCIAL SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

MM ASCEND LIFE INVESTOR SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

MM ASCEND LIFE INVESTOR SERVICES, LLC

CHARTER ONE SECURITIES, INC.

LOCUST STREET SECURITIES, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

BFC PLANNING, INC.

State Registrations and Notice Filings

Exams

SIE

Date: 10/1/2018

Series 6

Date: 1/14/1998

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

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