Suman Sachdeva

BFC PLANNING

Naples, FL

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CRD#: 4008218

Professional summary

Suman Sachdeva, who also goes by Suman Seth, is a registered financial advisor currently at BFC PLANNING, INC. located in Naples, Florida and SECURITIES MANAGEMENT & RESEARCH, INC. located in Naples, Florida.

Suman is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Suman has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Suman Seth

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.RAJ & SUMAN SACHDEVA FOUNDATION-N-CHARITY-TREASURER-07/2018-5-1-MAINTAIN AN ACCOUNT FOR CHARITY.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Suman Sachdeva's CRS (Customer Relationship Summary).

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®

None

Experience

Current

January 3, 2017 - Present

BFC PLANNING, INC.

RIA

CRD#: 119682

Naples, FL

Current

January 3, 2017 - Present

SECURITIES MANAGEMENT & RESEARCH, INC.

CRD#: 759

Naples, FL

Past

January 3, 2014 - December 31, 2016

INVESTMENT ADVISORS CORP

RIA

CRD#: 117531

ROSEMONT, IL

Past

January 2, 2014 - December 31, 2016

BROKER DEALER FINANCIAL SERVICES CORP.

CRD#: 8073

ROSEMONT, IL

Past

June 27, 2008 - December 31, 2013

FORESTERS EQUITY SERVICES, INC.

CRD#: 18464

OAK LAWN, IL

Past

April 10, 2007 - June 26, 2008

INVESTMENT ADVISORS INTERNATIONAL, INC.

RIA

CRD#: 139233

SHOREWOOD, IL

Past

January 8, 2007 - June 26, 2008

WORLD GROUP SECURITIES, INC.

CRD#: 114473

SHOREWOOD, IL

Past

March 7, 2005 - December 31, 2006

INVESTMENT ADVISORS CORP

RIA

CRD#: 117531

JOHNSTON, IA

Past

November 24, 1999 - December 31, 2006

BROKER DEALER FINANCIAL SERVICES CORP.

CRD#: 8073

ROSEMONT, 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".

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Florida
(4/6/2018)

Illinois
(1/3/2017)

IAR

Illinois
(1/3/2017)

Minnesota
(1/3/2017)

New York
(1/3/2017)

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

State Security Law Exam

IAR

Series 65

Date: 1/18/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/4/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/23/1999

General Securities Representative Examination

SRO Registrations

FINRA

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

Suman Sachdeva

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Suman Sachdeva's CRS (Customer Relationship Summary).

Certified licenses

Experience

SECURITIES MANAGEMENT & RESEARCH, INC.

INVESTMENT ADVISORS CORP

BROKER DEALER FINANCIAL SERVICES CORP.

FORESTERS EQUITY SERVICES, INC.

INVESTMENT ADVISORS INTERNATIONAL, INC.

WORLD GROUP SECURITIES, INC.

INVESTMENT ADVISORS CORP

BROKER DEALER FINANCIAL SERVICES CORP.

Primary Firm SEC Registration

BFC PLANNING, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 1/18/2005

Series 63

Date: 10/4/1999

SIE

Date: 10/1/2018

Series 7

Date: 11/23/1999

FINRA

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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