Juan R. Rodriguez

BFC PLANNING

Independence, IA 50644

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CRD#: 4208247

Professional summary

Juan Rafael Rodriguez is a registered financial advisor currently at BFC PLANNING, INC. located in Independence, Iowa and BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. located in Independence, Iowa.

Juan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Juan has worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

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. Cedar Valley Wealth Management, Inc.-n-Independence, IA 50644-Insurance Sales-Insurance Rep-6/1/2010-80-50-Insurance Sales. 2.Independence Celebrations Committee, Inc.-n-Independence, IA 50644-Non-Profit-Board Member-5/2003-1-1-Fund Raise for local 4th of July celebration. 3. Cedar Valley Wealth Management, Inc-y-2349 Jamestown Ave, Suite 2, Independence, IA 50644-DBA-Registered Representative-06/01/2010-120-120-Marketing name for business 4.DJ Juan Rodriguez-N-Independence, IA-DJ events-DJ-09/2017-4-0-DJ school dances, weddings and corporate events. 5. Band Boosters- N- Independence, IA- Board Member- 10/2023- 1- 0- Supporting school marching band, concert band, and jazz band. 6. Sleep In Heavenly Peace- Buchanan County Chapter- N- Chapter President- 08/2026- 10- 0- Charitable organization making and delivering beds to children.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Juan Rafael Rodriguez'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

November 9, 2015 - Present

BFC PLANNING, INC.

Office #1: 2349 Jamestown Ave Suite 2, Independence, IA 50644

RIA

CRD#: 119682

Independence, IA

Current

November 3, 2015 - Present

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

Office #1: 2349 Jamestown Ave Suite 2, Independence, IA 50644

RIA

CRD#: 13609

Independence, IA

Past

June 2, 2010 - November 12, 2015

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

INDEPENDENCE, IA

Past

June 1, 2010 - November 12, 2015

SECURITIES AMERICA, INC.

CRD#: 10205

INDEPENDENCE, IA

Past

February 13, 2006 - June 8, 2010

WELLS FARGO INVESTMENTS, LLC

RIA

CRD#: 10582

WATERLOO, IA

Past

December 2, 2005 - June 8, 2010

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

WATERLOO, IA

Past

April 2, 2001 - November 25, 2005

EDWARD JONES

CRD#: 250

INDEPENDENCE, IA

Past

July 27, 2000 - April 12, 2001

CETERA WEALTH SERVICES, LLC

CRD#: 13572

EL SEGUNDO, CA

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
(9/18/2024)

Florida
(11/22/2024)

IAR

Iowa
(11/9/2015)

Iowa
(11/12/2015)

Kansas
(4/1/2026)

Louisiana
(1/22/2021)

Minnesota
(11/17/2015)

Missouri
(3/8/2024)

Nebraska
(1/6/2026)

Virginia
(8/6/2020)

Wisconsin
(11/23/2015)

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

What does exam status mean?

State Security Law Exam

IAR

Series 66

Status Unavailable

Passed: 2/10/2006

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Status Unavailable

Passed: 8/11/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Status Unavailable

Passed: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Status Unavailable

Passed: 7/26/2000

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 (3/27/2026)

Regulatory assets under management

Total Number of Accounts	13,174
AUM (Assets Under Management)	$ 3,841,196,599

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

Juan R. Rodriguez

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Juan Rafael Rodriguez's CRS (Customer Relationship Summary).

Certified licenses

Experience

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

EDWARD JONES

CETERA WEALTH SERVICES, LLC

Primary Firm SEC Registration

BFC PLANNING, INC.

State Registrations and Notice Filings

Exams

Series 66

Passed: 2/10/2006

Series 63

Passed: 8/11/2000

SIE

Passed: 10/1/2018

Series 7

Passed: 7/26/2000

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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