Edward J. Dougherty

BFC PLANNING

CEDAR RAPIDS, IA 52402

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CRD#: 4109336

Professional summary

Edward James Dougherty is a registered financial advisor currently at BFC PLANNING, INC. located in Cedar Rapids, Iowa and BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. located in Cedar Rapids, Iowa.

Edward is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Edward has worked at 9 firms and has passed the Series 65, Series 66, SIE and Series 7 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. Fixed Insurance-N-Cedar Rapids, IA-Insurance-Insurance Rep-9/2009-40-40-Sales of insurance products. 2. EdD Lisbon Inc.-N-Cedar Rapids, IA-Pass through S-Corp-President-2/2012-0-0-Pass through S-Corp for Insurance and Securities business. 3.Lisbon Community School District Foundation-N-Lisbon, IA-Non-Profit, foundation associated with Dollars for Scholars-President-7/2004-8-0-Give out scholarships to students attending 2 - 4 yr college. Fundraising, & donations. 4.Wagner Investment Group-N-Cedar Rapids, IA-Financial Services-Registered Representative-02/2020-160-160-DBA name for Financial Services & Planning.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Edward James Dougherty'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

December 21, 2015 - Present

BFC PLANNING, INC.

Office #1: 4201 42nd Street Ne Suite 100, Cedar Rapids, IA 52402

RIA

CRD#: 119682

CEDAR RAPIDS, IA

Current

December 18, 2015 - Present

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

Office #1: 4201 42nd Street Ne, Suite 100 Box 11340, Cedar Rapids, IA 52410-1340

RIA

CRD#: 13609

Cedar Rapids, IA

Past

September 11, 2009 - December 21, 2015

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

CEDAR RAPIDS, IA

Past

September 4, 2009 - December 21, 2015

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

CEDAR RAPIDS, IA

Past

January 1, 2008 - September 9, 2009

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

CEDAR RAPIDS, IA

Past

January 1, 2008 - September 9, 2009

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

CEDAR RAPIDS, IA

Past

October 31, 2006 - January 1, 2008

A. G. EDWARDS & SONS, INC.

RIA

CRD#: 4

CEDAR RAPIDS, IA

Past

October 31, 2006 - January 3, 2008

A. G. EDWARDS & SONS, INC.

CRD#: 4

CEDAR RAPIDS, IA

Past

August 8, 2006 - November 1, 2006

WELLS FARGO INVESTMENTS, LLC

RIA

CRD#: 10582

CEDAR RAPIDS, IA

Past

August 2, 2002 - November 1, 2006

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

CEDAR RAPIDS, IA

Past

October 25, 2001 - August 12, 2002

NYLIFE SECURITIES LLC

CRD#: 5167

NEW YORK, NY

Past

June 14, 2001 - September 19, 2001

BROKER DEALER FINANCIAL SERVICES CORP.

CRD#: 8073

WEST DES MOINES, IA

Past

April 26, 2000 - June 15, 2001

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

MILWAUKEE, WI

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

Arizona
(2/5/2020)

California
(1/28/2020)

Florida
(12/22/2015)

Georgia
(6/11/2020)

Illinois
(10/16/2018)

Iowa
(12/21/2015)

IAR

Iowa
(12/21/2015)

Louisiana
(4/3/2020)

Maine
(8/27/2025)

Minnesota
(2/4/2020)

New Jersey
(11/8/2018)

New York
(12/22/2015)

Ohio
(5/1/2020)

Virginia
(4/25/2017)

Wisconsin
(1/30/2020)

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: 8/7/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 4/25/2000

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/11/2000

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

Edward J. Dougherty

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Edward James Dougherty's CRS (Customer Relationship Summary).

Certified licenses

Experience

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

A. G. EDWARDS & SONS, INC.

A. G. EDWARDS & SONS, INC.

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

NYLIFE SECURITIES LLC

BROKER DEALER FINANCIAL SERVICES CORP.

ROBERT W. BAIRD & CO. INCORPORATED

Primary Firm SEC Registration

BFC PLANNING, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/7/2006

Series 66

Date: 4/25/2000

SIE

Date: 10/1/2018

Series 7

Date: 4/11/2000

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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