RH
Ritchie L. Hoffman
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES
Indianapolis, IN 46240
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CRD#: 4664884
RH
Professional summary
Ritchie Lynn Hoffman is a registered financial advisor currently at BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. located in Indianapolis, Indiana and BFC PLANNING, INC. located in Lafayette, Indiana.
Ritchie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Ritchie has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 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.HOFFMAN FINANCIAL-Y-LAFAYETTE, IN-FINANCIAL SERVICES-PRESIDENT, OWNER-5/2010-200-140-FINANCIAL PLANNING;2.HOFFMAN FINANCIAL-N-LAFAYETTE, IN-FIXED INSURANCE-INSRANCE AGENT-3/2003-10-10-PROVIDE LIFE AND DISABILITY INSURANCE;
CRS (Client Relationship Summary) - RIA
Click below to view Ritchie Lynn Hoffman'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
August 3, 2009 - Present
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
Office #1: 3815 River Crossing Parkway Suite 140, Indianapolis, IN 46240Office #2: 30 Professional Court Suite 5, Lafayette, IN 47903RIA
BD
CRD#: 13609
Indianapolis, IN
Current
August 2, 2016 - Present
BFC PLANNING, INC.
Office #1: 30 Professional Court Suite 5, Lafayette, IN 47905Office #2: 3815 River Crossing Parkway Suite 100, Indianapolis, IN 46240RIA
CRD#: 119682
LAFAYETTE, IN
Current
August 3, 2009 - Present
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
Office #1: 30 Professional Court Suite 5, Lafayette, IN 47903RIA
BD
CRD#: 13609
Lafayette, IN
Past
October 22, 2003 - July 29, 2009
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
INDIANAPOLIS, IN
Past
June 3, 2003 - July 29, 2009
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
INDIANAPOLIS, IN
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
Alabama(1/2/2018)
RR
California(8/5/2009)
RR
Colorado(8/3/2009)
RR
Indiana(8/3/2009)
IAR
Indiana(8/3/2009)
RR
Michigan(8/5/2009)
RR
Missouri(4/22/2025)
RR
Nebraska(7/24/2014)
RR
North Carolina(8/3/2009)
RR
Ohio(8/3/2009)
RR
Texas(6/24/2016)
RR
Wisconsin(11/14/2023)
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
