Jason C. Cook

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES

Graham, NC 27253

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CRD#: 4349388

Professional summary

Jason Christopher Cook, CFP® is a registered financial advisor currently at BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. located in Graham, North Carolina and BFC PLANNING, INC. located in Graham, North Carolina.

Jason is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Jason has worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 6 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jason Christopher Cook'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®

CFP^®

Certified Financial Planner

Start date: 2009

Experience

Current

September 14, 2009 - Present

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

Office #1: 208 S. Marshall Street, Graham, NC 27253

RIA

CRD#: 13609

Graham, NC

Current

November 7, 2018 - Present

BFC PLANNING, INC.

Office #1: 208 S. Marshall Street, Graham, NC 27253

RIA

CRD#: 119682

Graham, NC

Current

January 3, 2006 - Present

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

Office #1: 208 S. Marshall Street, Graham, NC 27253

RIA

CRD#: 13609

Graham, NC

Past

January 5, 2005 - January 9, 2006

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

GRAHAM, NC

Past

March 7, 2001 - January 13, 2005

PRINCIPAL SECURITIES, INC.

CRD#: 1137

DES MOINES, 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".

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
(9/7/2007)

Georgia
(6/12/2006)

North Carolina
(1/3/2006)

IAR

North Carolina
(9/14/2009)

Pennsylvania
(11/14/2018)

South Carolina
(6/12/2006)

Virginia
(2/27/2008)

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

Series 63

Date: 2/17/2001

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: 7/28/2005

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/6/2001

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/17/2006

General Securities Principal 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

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Jason C. Cook

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jason Christopher Cook's CRS (Customer Relationship Summary).

Certified licenses

Experience

BFC PLANNING, INC.

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

PRINCIPAL SECURITIES, INC.

Primary Firm SEC Registration

BFC PLANNING, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 2/17/2001

SIE

Date: 10/1/2018

Series 7

Date: 7/28/2005

Series 6

Date: 3/6/2001

Series 24

Date: 8/17/2006

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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