Thomas H. Moore

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CRD#: 339328

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Thomas Herman Moore was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 1971. Thomas had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 5, PC, Series 1 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 12, 2012 - November 3, 2017

BFC PLANNING, INC.

RIA

CRD#: 119682

DALLAS, TX

Past

June 28, 2012 - November 3, 2017

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

CRD#: 13609

DALLAS, TX

Past

July 10, 2006 - June 26, 2012

MILKIE/FERGUSON INVESTMENTS, INC.

RIA

CRD#: 17606

DALLAS, TX

Past

May 22, 2006 - June 26, 2012

MILKIE/FERGUSON INVESTMENTS, INC.

CRD#: 17606

DALLAS, TX

Past

August 7, 2003 - June 1, 2006

OPPENHEIMER & CO. INC.

RIA

CRD#: 249

DALLAS, TX

Past

August 7, 2003 - June 1, 2006

OPPENHEIMER & CO. INC.

CRD#: 249

DALLAS, TX

Past

January 23, 1998 - June 3, 2003

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

DALLAS, TX

Past

January 16, 1998 - June 3, 2003

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

September 26, 1978 - December 22, 1997

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

December 2, 1971 - September 26, 1978

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

CRD#: 572

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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/14/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/30/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 11/3/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 5

Date: 12/12/1981

Interest Rate Options Examination

General Industry/Product Exam

PC

Date: 9/8/1977

AMEX Put and Call Exam

General Industry/Product Exam

Series 1

Date: 12/1/1971

Registered Representative Examination

Principal/Supervisory Exam

Series 8

Date: 2/24/1983

General Securities Sales Supervisor Examination (Options Module & General Module)

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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Advisor Monitoring

Firm Stability Insights

Thomas H. Moore

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

MILKIE/FERGUSON INVESTMENTS, INC.

MILKIE/FERGUSON INVESTMENTS, INC.

OPPENHEIMER & CO. INC.

OPPENHEIMER & CO. INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

Primary Firm SEC Registration

BFC PLANNING, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/14/1999

Series 63

Date: 4/30/1982

SIE

Date: 11/3/2017

Series 5

Date: 12/12/1981

PC

Date: 9/8/1977

Series 1

Date: 12/1/1971

Series 8

Date: 2/24/1983

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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