SG
Steven A. Gundy
BFC PLANNING
DALLAS, TX 75248
Some features on this profile are disabled
CRD#: 3263530
SG
Professional summary
Steven Alan Gundy is a registered financial advisor currently at BFC PLANNING, INC. located in Dallas, Texas and BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. located in Dallas, Texas.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Steven has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.GS WEALTH MANAGEMENT-Y-DALLAS/TX-MANAGING PARTNER-12/2005-80-60-AGGREGATE PRODUCER 2.UNITED TEXAS BANK-N-DALLAS/TX-LOCAL BANK-DIRECTOR-09/2010-10-4-SIT ON BOARD, LOAN COMMITTEE. 3.PRONET-THE PROFESSIONAL REFERRAL NETWORK-N-PLANO, TX-NETWORK GROUP-MEMBER-7/2012-4-0-PROFESSIONAL NETWORKING GROUP THAT MEETS WEEKLY. 4. GS WEALTH MANAGEMENT-Y-DALLAS, TX-FINANCIAL PLANNING-PRESIDENT-7/2003-5-0-FINANCIAL PLANNING. 5.Caring4Folks, LLC-N-Dallas, TX-LLC for payroll-Member-05/2019-5-0-Under the advice of the family CPA, formed an LLC to deal w/ payroll for home care of father. 6.Gundy Estate Planning-Dallas, TX-Estate Planning-Partial Owner-11/2019-1-0-For estate planning purposes, rent parents home on annual basis. 7.GB Ranch-N-Dallas, TX-B&B Ranch-Partner/Operator-07/2019-0-0-Will be involved in marketing, maintenance, culinary, photography and housekeeping of a B&B Ranch. 8.Ackerman Center for Holocaust Studies-N-Dallas, TX-Attend Board Meetings-Advisory Board Member-02/2020-2-0-Attend Board Meetings and advise on annual events. 9.GS Wealth Management-N-Dallas, TX-Fixed Insurance-President-07/2003-5-0-Insurance Sales. 10.Anti-Defamation League-N-Dallas, TX-Advisory Board-Regional Board Member-11/2020-2-0-Regional Board Member of the ADL Texoma. Work to fight hatred & encourage diversity through north Texas and Oklahoma. 11.RealCo Investments LLC-N-Dallas, TX-Legal Partnership-Partner-12/2021-0-0-Entity being used to purchase an office building. 12. FINRA Arbitrator- N- Dallas, TX- Arbitrator- 07/2022- 5- 5- Filed to become an arbitrator with FINRA.
CRS (Client Relationship Summary) - RIA
Click below to view Steven Alan Gundy'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 22, 2012 - Present
BFC PLANNING, INC.
Office #1: 15443 Knoll Trail Dr Suite 110, Dallas, TX 75248RIA
CRD#: 119682
DALLAS, TX
Current
June 22, 2012 - Present
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
Office #1: 15443 Knoll Trail Dr Suite 110, Dallas, TX 75248RIA
BD
CRD#: 13609
Dallas, TX
Past
May 4, 2009 - June 26, 2012
MILKIE/FERGUSON INVESTMENTS, INC.
RIA
CRD#: 17606
DALLAS, TX
Past
June 13, 2008 - June 26, 2012
MILKIE/FERGUSON INVESTMENTS, INC.
BD
CRD#: 17606
DALLAS, TX
Past
August 3, 2005 - December 12, 2005
FOX FINANCIAL MANAGEMENT CORPORATION
BD
CRD#: 134277
CARROLLTON, TX
Past
January 6, 2000 - June 17, 2008
FOX & COMPANY INVESTMENTS INC.
BD
CRD#: 18517
DALLAS, TX
Past
September 1, 1999 - November 16, 1999
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
September 1, 1999 - November 16, 1999
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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
Alabama(9/10/2012)
RR
Arizona(6/20/2014)
RR
Arkansas(2/1/2024)
RR
California(2/17/2023)
RR
Colorado(6/22/2012)
RR
Florida(6/22/2012)
RR
Illinois(6/22/2012)
RR
Louisiana(6/6/2018)
RR
Maryland(6/22/2012)
RR
Minnesota(1/27/2020)
RR
New Jersey(6/22/2012)
RR
North Carolina(6/22/2012)
RR
Oklahoma(3/27/2013)
RR
Pennsylvania(8/5/2015)
RR
South Carolina(8/22/2014)
RR
South Dakota(6/6/2025)
RR
Tennessee(9/10/2012)
IAR
Texas(6/22/2012)
RR
Texas(7/6/2012)
RR
Virginia(2/1/2024)
RR
Wisconsin(4/7/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
BFC PLANNING, INC.
CRD#: 119682Dallas, TX 75248TRUST BUT VERIFY
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