Bret A. Hartman

BFC PLANNING

Cortland, NY

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CRD#: 4502046

Professional summary

Bret Alexander Hartman, who also goes by Bret Hartman, is a registered financial advisor currently at BFC PLANNING, INC. located in Cortland, New York and BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. located in Cortland, New York.

Bret is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Bret has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Bret Hartman

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.Hartman Family Irrev. Trust-N-Baldwinsville, NY-Pay Utilities/Taxes-Co Trustee-11/2014-2-0-Pay utilities and taxes for the family cottages in Canada. 2.Rental Property Owner-N-Baldwinsville, NY-Own 2 rental properties-Owner/Operator-07/2004-15-3-Own 2 rental properties, collect rent and manage the maintenance. 3.Life Insurance Business-Y-Baldwinsville, NY-Permanent and Term life insurance-Producer-10/2020-10-3-Sell both Permanent and Term life insurance. 4.Upskill Wealth Management-Y-Cortland, NY-DBA for Securities Business-Owner & Sole Proprietor-01/2021-150-6-Provide investment management and risk management products. 5. Upskill Tax Services- N- Cortland, NY- Tax Services- Member- 04/2023- 10- 0- Licensed tax preparation.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Bret Alexander Hartman'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

September 30, 2020 - Present

BFC PLANNING, INC.

RIA

CRD#: 119682

Cortland, NY

Current

September 28, 2020 - Present

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

Office #1: 1 North Main Street Suite 301, Cortland, NY 13045

RIA

CRD#: 13609

Cortland, NY

Past

October 11, 2011 - September 22, 2020

LPL FINANCIAL LLC

RIA

CRD#: 6413

NORWICH, NY

Past

October 11, 2011 - September 22, 2020

LPL FINANCIAL LLC

CRD#: 6413

NORWICH, NY

Past

June 22, 2010 - October 11, 2011

UVEST FINANCIAL SERVICES GROUP, INC.

RIA

CRD#: 13787

CORTLAND, NY

Past

June 22, 2010 - October 11, 2011

UVEST FINANCIAL SERVICES GROUP, INC.

CRD#: 13787

CORTLAND, NY

Past

October 1, 2009 - June 7, 2010

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

DEWITT, NY

Past

September 22, 2009 - June 7, 2010

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

DEWITT, NY

Past

May 20, 2004 - August 18, 2006

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

LIVERPOOL, NY

Past

April 12, 2004 - August 18, 2006

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

LIVERPOOL, NY

Past

March 21, 2002 - December 4, 2003

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

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

Arkansas
(10/28/2024)

Florida
(9/29/2020)

Maine
(5/2/2022)

New Jersey
(10/7/2020)

New York
(9/29/2020)

IAR

New York
(6/1/2021)

Pennsylvania
(9/30/2020)

South Carolina
(9/30/2020)

Tennessee
(9/29/2020)

Vermont
(11/4/2020)

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 66

Date: 9/28/2009

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: 9/16/2009

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

Bret A. Hartman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Bret Alexander Hartman's CRS (Customer Relationship Summary).

Certified licenses

Experience

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

UVEST FINANCIAL SERVICES GROUP, INC.

UVEST FINANCIAL SERVICES GROUP, INC.

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

BFC PLANNING, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 9/28/2009

SIE

Date: 10/1/2018

Series 7

Date: 9/16/2009

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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