James Andrew Cecil
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...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
James A Cecil
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
27 years in the financial services industry
Current & Past Employments
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Current Firm
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
Contact Information
Main Address
4201 42nd Street Ne Suite 100, Cedar Rapids, IA 52402Phone Number
(319) 447-5700# of Employees
200SEC notice filing (51 States and Territories)
Registered to provide investment advisory services in 51 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
13,174AUM (Assets Under Management)
$3,841,196,599Similar Advisors
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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.
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Primary Firm SEC Registration
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
State Registrations and Notice Filings
(8/27/2012)
(1/27/2012)
(7/22/2010)
(1/7/2011)
(7/3/2014)
(5/8/2020)
(6/23/2016)
(11/25/2008)
(11/25/2008)
(11/25/2008)
(2/5/2013)
(3/25/2013)
(6/5/2013)
(7/10/2009)
(2/11/2013)
(10/24/2011)
(9/10/2021)
(11/7/2013)
(9/19/2013)
(8/1/2019)
(10/23/2023)
(2/4/2026)
(8/21/2015)
(9/16/2013)
(1/28/2013)
(6/8/2010)
(3/10/2011)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Jul 1999About the Series 6 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Dec 2008About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Aug 2008About the Series 9 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view James Andrew Cecil's CRS (Customer Relationship Summary).
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