RS
Richard T. Seal
BFC PLANNING
Pleasant Grove, UT 84062
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CRD#: 4618655
RS
Professional summary
Richard Thomas Seal, who also goes by Rich Seal, is a registered financial advisor currently at BFC PLANNING, INC. located in Pleasant Grove, Utah and BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. located in Pleasant Grove, Utah.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Richard has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rich Seal
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.Wheelhouse Wealth Management-Y-Eagle Mountain, UT-Fixed Insurance-Agent/Owner-01/2021-5-5-Writing fixed insurance business. 2.Planes Trains & Automobiles Show-N-Orem, UT-Car Show-Committee member-06/2016-10-1-Help organize local car show and auto events 3.GMCAV, LLC-N-American Fork, UT-LLC for personal structure-Owner-11/2017-1-1-Securities LLC for accounting purposes 4.Grumpy Guppies, LLC-N-American Fork, UT-LLC to hold BR Performance Cars-Owner-12/2018-1-0-Manage family business. LLC that will hold BR Performance race cars. 5.Family Trustee-N-American Fork, UT-Act as trustee for mothers special needs situation-Trustee-12/2017-1-0-Act as trustee on a trust for mother in a special needs situation, as well as two other trusts for cousins. 6.Wheelhouse Wealth Management-N-Eagle Mountain, UT-Financial Advisor-Owner-12/2019-160-8-Dba for Financial Services. 7. Wheelhouse Wealth YouTube Channel-Y-Eagle Mountain, UT-Owner-11/2021-5-0-Make and share videos of interest to clients and prospects. 8. Rare Coins of New Hampshire-N-Eagle Mountain, UT-Representative-11/2021- 1-1-Assist clients with buying or selling precious metals.
CRS (Client Relationship Summary) - RIA
Click below to view Richard Thomas Seal'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
March 1, 2012 - Present
BFC PLANNING, INC.
Office #1: 564 W. State Street, Pleasant Grove, UT 84062RIA
CRD#: 119682
Pleasant Grove, UT
Current
February 6, 2008 - Present
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
Office #1: 564 W.state Street, Pleasant Grove, UT 84062RIA
BD
CRD#: 13609
Pleasant Grove, UT
Past
March 24, 2009 - November 19, 2012
CB FINANCIAL ADVISORS
RIA
CRD#: 136183
PROVO, UT
Past
February 7, 2008 - March 6, 2009
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
RIA
CRD#: 13609
American Fork, UT
Past
October 5, 2007 - February 1, 2008
INDEPENDENT FINANCIAL GROUP, LLC
RIA
CRD#: 7717
OREM, UT
Past
November 20, 2006 - February 1, 2008
INDEPENDENT FINANCIAL GROUP, LLC
BD
CRD#: 7717
OREM, UT
Past
January 11, 2006 - November 27, 2006
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
BD
CRD#: 13609
PROVO, UT
Past
February 13, 2003 - January 12, 2006
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
DULUTH, GA
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(8/8/2024)
RR
California(5/19/2014)
RR
Colorado(12/17/2015)
RR
Florida(3/31/2008)
RR
Idaho(5/3/2013)
RR
Louisiana(6/9/2025)
RR
Massachusetts(5/14/2013)
RR
Michigan(10/1/2024)
RR
Montana(6/20/2017)
RR
Nevada(10/5/2015)
RR
New York(1/11/2024)
RR
North Carolina(5/28/2014)
RR
Oregon(1/13/2015)
RR
Texas(5/22/2018)
RR
Utah(2/6/2008)
IAR
Utah(3/1/2012)
RR
Virginia(11/26/2013)
RR
Washington(2/28/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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
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.
Company Information
BFC PLANNING, INC.
CRD#: 119682Pleasant Grove, UT 84062TRUST BUT VERIFY
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