Jeffrey R. Utterback

BFC PLANNING

Toledo, OH

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CRD#: 4793105

Professional summary

Jeffrey Robert Utterback is a registered financial advisor currently at BFC PLANNING, INC. located in Toledo, Ohio and BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. located in Toledo, Ohio.

Jeffrey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Jeffrey has worked at 10 firms and has passed the Series 66, SIE and Series 7 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. Jeffrey R Utterback-N-Toledo, OH-Market United Health Care Medicare Advantage Plans to provide leads-Agent-02/2018-10-10-Market United Health Care Medicare Advantage Plans to provide leads. 2. Strategic Wealth Management Group, LLC-Y-Toledo, OH-Securities and Insurance sales-Registered Representative-04/2018-160-160-Securities and Life and Health insurance sales. 3. Bay View Yacht Club- N- Toledo, OH- Boating club- Chairman of board of trustees- 01/2021- 10- 0- Manage board of trustees.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jeffrey Robert Utterback'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

November 21, 2017 - Present

BFC PLANNING, INC.

RIA

CRD#: 119682

Toledo, OH

Current

November 20, 2017 - Present

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

Office #1: 3230 Central Park West Suite 202, Toledo, OH 43617

RIA

CRD#: 4095

MAUMEE, OH

Past

February 18, 2005 - September 25, 2006

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

MAUMEE, OH

Past

August 4, 2004 - February 18, 2005

KEYBANC CAPITAL MARKETS INC.

RIA

CRD#: 566

TOLEDO, OH

Past

June 23, 2004 - February 18, 2005

KEYBANC CAPITAL MARKETS INC.

CRD#: 566

CLEVELAND, OH

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

California
(2/1/2018)

Florida
(9/21/2018)

Georgia
(11/17/2021)

Michigan
(11/22/2017)

Ohio
(11/20/2017)

IAR

Ohio
(11/21/2017)

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: 8/3/2004

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: 6/22/2004

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

Jeffrey R. Utterback

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jeffrey Robert Utterback's CRS (Customer Relationship Summary).

Certified licenses

Experience

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

CITIZENS SECURITIES, INC.

CITIZENS SECURITIES, INC.

THE HUNTINGTON INVESTMENT COMPANY

THE HUNTINGTON INVESTMENT COMPANY

VALIC FINANCIAL ADVISORS, INC.

VALIC FINANCIAL ADVISORS, INC.

NATCITY INVESTMENTS, INC.

NATCITY INVESTMENTS, INC.

FIFTH THIRD SECURITIES, INC.

FIFTH THIRD SECURITIES, INC.

MSI FINANCIAL SERVICES, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

KEYBANC CAPITAL MARKETS INC.

KEYBANC CAPITAL MARKETS INC.

Primary Firm SEC Registration

BFC PLANNING, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 8/3/2004

SIE

Date: 10/1/2018

Series 7

Date: 6/22/2004

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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