JC
James A. Cecil
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES
Solon, IA
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CRD#: 3216291
JC
Professional summary
James Andrew Cecil, who also goes by James A Cecil, is a registered financial advisor currently at BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. located in Solon, Iowa and BFC PLANNING, INC. located in Solon, Iowa.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. James has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James A Cecil
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. LEGACY FINANCIAL GROUP-Y-322 E 3RD ST, SOLON, IA & 85 SUGAR CREEK LANE STE A, NORTH LIBERTY, IA-DBA-REPESENTATIVE-4/2009-80-80-SECURITIES & INSURANCE. 2. JAMES ANDREW CECIL-Y-322 E 3RD ST, SOLON, IA & 85 SUGAR CREEK LANE ST A, NORTH LIBERTY, IA -INSURANCE-INSURANCE REP- 8/2003-2-0-INSURANCE SALES. 3. GRAND LODGE OF IOWA-N-5850 OAKWOOD DR NW, DES MOINES, IA 50322-NON PROFIT GROUP-FINANCE COMMITTEE MEMBER-10/7/2014-2-0-REVIEW AND REPORT ON EXPENSES OF THE GRAND LODGE & REPORT ON ACCOUNT OF THE GRAND SECRETARY AND GRAND TREASURER. 4. GRAND LODGE OF IOWA- N- NON PROFIT FRATERNAL ORGANIZATION- GRAND MASTER- 10/2022- 10- 2- RUN MEETINGS AND REPRESENT THE LODGE AT CONFERENCES.
CRS (Client Relationship Summary) - RIA
Click below to view James Andrew Cecil'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
November 25, 2008 - Present
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
RIA
BD
CRD#: 13609
Solon, IA
Current
February 7, 2017 - Present
BFC PLANNING, INC.
RIA
CRD#: 119682
Solon, IA
Current
November 25, 2008 - Present
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
RIA
BD
CRD#: 13609
Solon, IA
Past
June 26, 2007 - November 13, 2008
RAYMOND JAMES FINANCIAL SERVICES, INC.
RIA
CRD#: 6694
IOWA CITY, IA
Past
June 21, 2007 - November 13, 2008
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
IOWA CITY, IA
Past
January 18, 2007 - June 27, 2007
EDWARD JONES
RIA
CRD#: 250
IOWA CITY, IA
Past
September 9, 2003 - June 27, 2007
EDWARD JONES
BD
CRD#: 250
IOWA CITY, IA
Past
August 1, 2000 - August 24, 2001
DWS DISTRIBUTORS, INC.
BD
CRD#: 37306
CHICAGO, IL
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(8/27/2012)
RR
California(1/27/2012)
RR
Colorado(7/22/2010)
RR
Florida(1/7/2011)
RR
Georgia(7/3/2014)
RR
Hawaii(5/8/2020)
RR
Idaho(6/23/2016)
RR
Illinois(11/25/2008)
RR
Iowa(11/25/2008)
IAR
Iowa(11/25/2008)
RR
Kansas(2/5/2013)
RR
Massachusetts(3/25/2013)
RR
Michigan(6/5/2013)
RR
Minnesota(7/10/2009)
RR
Missouri(2/11/2013)
RR
Nebraska(10/24/2011)
RR
New Mexico(9/10/2021)
RR
North Carolina(11/7/2013)
RR
Ohio(9/19/2013)
RR
Oregon(8/1/2019)
RR
Pennsylvania(10/23/2023)
RR
South Dakota(8/21/2015)
RR
Texas(9/16/2013)
RR
Utah(1/28/2013)
RR
Virginia(6/8/2010)
RR
Wisconsin(3/10/2011)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
