RW
Randy A. Wilcox
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES
Cedar Rapids, IA 52410-1340
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CRD#: 4346998
RW
Professional summary
Randy Austin Wilcox is a registered financial advisor currently at BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. located in Cedar Rapids, Iowa and BFC PLANNING, INC. located in Cedar Rapids, Iowa.
Randy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Randy has worked at 4 firms and has passed the Series 65, Series 63, Series 57TO, Series 99TO, SIE, Series 3, Series 55, Series 7, Series 4 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.Officer for affiliated companies of Berthel Fisher & Company including Berthel Fisher & Co. Financial Services, Inc., BFC Planning, Inc., Securities Management & Research, Inc.-Y-Cedar Rapids, IA-Financial Services-160-160-Financial Services.
CRS (Client Relationship Summary) - RIA
Click below to view Randy Austin Wilcox'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
September 10, 2005 - Present
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
Office #1: 4201 42nd Street Ne, Suite 100 Box 11340, Cedar Rapids, IA 52410-1340RIA
BD
CRD#: 13609
Cedar Rapids, IA
Current
June 7, 2011 - Present
BFC PLANNING, INC.
Office #1: 4201 42nd Street Ne Suite 100, Cedar Rapids, IA 52402RIA
CRD#: 119682
Cedar Rapids, IA
Current
February 3, 2003 - Present
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
Office #1: 4201 42nd Street Ne, Suite 100 Box 11340, Cedar Rapids, IA 52410-1340RIA
BD
CRD#: 13609
Cedar Rapids, IA
Current
September 19, 2011 - Present
SECURITIES MANAGEMENT & RESEARCH, INC.
Office #1: 4201 42nd Street Ne Suite 100 Box 11606, Cedar Rapids, IA 52410-1606BD
CRD#: 759
Cedar Rapids, IA
Past
September 19, 2011 - April 30, 2012
SECURITIES MANAGEMENT & RESEARCH, INC.
RIA
CRD#: 759
MARION, IA
Past
August 15, 2002 - January 27, 2003
NATIONS FINANCIAL GROUP, INC.
BD
CRD#: 44181
CEDAR RAPIDS, IA
Past
April 3, 2001 - August 15, 2002
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
BD
CRD#: 13609
CEDAR RAPIDS, IA
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
Arizona(2/17/2021)
RR
Arkansas(2/17/2021)
RR
California(2/17/2021)
RR
Colorado(2/17/2021)
RR
Idaho(2/17/2021)
RR
Indiana(2/18/2021)
RR
Iowa(2/3/2003)
IAR
Iowa(9/10/2005)
RR
Kansas(2/17/2021)
RR
Louisiana(2/18/2021)
RR
Massachusetts(6/16/2023)
RR
Minnesota(2/17/2021)
RR
Missouri(2/17/2021)
RR
Montana(10/26/2022)
RR
Nebraska(11/4/2008)
RR
Nevada(2/18/2021)
RR
New Mexico(2/18/2021)
RR
North Dakota(2/17/2021)
RR
Oklahoma(2/18/2021)
RR
Oregon(2/17/2021)
RR
South Dakota(2/17/2021)
RR
Texas(2/17/2021)
RR
Utah(2/17/2021)
RR
Washington(2/18/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 6/26/2001
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory 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.
