LG
Lois E. Gough Lopez
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES
Valencia, CA 91355
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CRD#: 3090515
LG
Professional summary
Lois E Gough Lopez, who also goes by Lois E. Gough, Lois E Gough Lopez, Lois E Lopez, is a registered financial advisor currently at BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. located in Valencia, California and BFC PLANNING, INC. located in Pine Mountain Club, California.
Lois is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Lois has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 62, Series 22 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Lois E. Gough | Lois E Gough Lopez | Lois E Lopez
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.
1.1ST LIBERTY FINANCIAL-N-PINE MOUNTAIN CLUB, CA-INSURANCE-PRESIDENT-05/2004-10-2-SELL LIFE/LTC/DI and some Health and supplemental (AFLAC) Insurance to clients 2.1ST LIBERTY FINANCIAL SECURITIES-Y-PINE MOUNTAIN CLUB, UT-SECURITIES-PRESIDENT-03/2002-160-160-BUSINESS NAME UNDER WHICH SECURITIES BUSINESS IS CONDUCTED 3.1ST LIBERTY FINANCIAL BUSINESS CONSULTANT-N-PINE MOUNTAIN CLUB, CA-BUSINESS CONSULTANT/TRAINER-PRESIDENT-05/1999-10-2-PROVIDE TRAINING, CONSULTING AND WORKSHOPS RELATED TO SERVICE SKILLS, BUSINESS BUDGETING AND PLANNING 4.Lois E Gough Lopez-FITNESS CONSULTANT-N-PINE MOUNTAIN CLUB, CA-FITNESS CONSULTANT-TRAINER-06/1985-10-2-PROVIDE INDIVIDUAL AND GROUP FITNESS TRAINING AND CLASSES 5.Sunset d'Silva-N-Pine Mountain Club, CA-Story Teller-Writer/Author-12/2016-5-0-Stories for publication, contests and audio publication. Mostly fictional work. 6.Insurance Sales-N-Pine Mountain Club, CA-Insurance sales-Independent Agent-11/2018-1-0-Life, Health, LTC and Disability insurance sales. 7. Lois Lopez- N- Pine Mountain Club, CA- PhotoArt- Sole Proprietor- 09/2024- 10- 0- Selling artwork through an online storefront.
CRS (Client Relationship Summary) - RIA
Click below to view Lois E Gough Lopez'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
June 20, 2005 - Present
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
Office #1: 24907 Avenue Tibbitts Suite B 2nd Floor, Valencia, CA, 91355RIA
BD
CRD#: 13609
Valencia, CA
Current
January 2, 2019 - Present
BFC PLANNING, INC.
RIA
CRD#: 119682
Pine Mountain Club, CA
Current
March 31, 2003 - Present
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
RIA
BD
CRD#: 13609
Pine Mountain Club, CA
Past
January 11, 2002 - March 31, 2003
CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.
BD
CRD#: 2864
BRYAN, OH
Past
March 10, 2000 - January 24, 2002
WMA SECURITIES, INC.
BD
CRD#: 32625
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
Arizona(6/7/2018)
RR
California(3/31/2003)
IAR
California(6/20/2005)
RR
Idaho(10/1/2020)
RR
Indiana(10/4/2024)
RR
Maryland(2/24/2016)
RR
Nebraska(4/3/2023)
RR
New Jersey(4/8/2013)
RR
Oregon(9/5/2003)
RR
South Carolina(3/30/2017)
RR
South Dakota(5/2/2017)
RR
Tennessee(10/5/2022)
RR
Texas(1/19/2016)
RR
Washington(11/23/2016)
RR
Wisconsin(8/12/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 6/29/2007
Corporate Securities Limited Representative ExaminationGeneral 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.
Company Information
BFC PLANNING, INC.
CRD#: 119682Valencia, CA 91355TRUST BUT VERIFY
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