RM
Richard M. Murphy
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES
Cedar Rapids, IA 52410-1340
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CRD#: 4893748
RM
Professional summary
Richard Maurice Murphy is a registered financial advisor currently at BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. located in Cedar Rapids, Iowa and BFC PLANNING, INC. located in Cedar Rapids, Iowa.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Richard has worked at 3 firms and has passed the Series 66, Series 99TO, Series 79TO, SIE, Series 7 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.
1. Officer for affiliated companies of Berthel Fisher & Company including Berthel Fisher & Company (Executive Vice President), Berthel Fisher & Co. Financial Services, Inc. (Executive Vice President), BFC Planning, Inc. (Director), Securities Management & Research, Inc. (Executive Vice President/Director)-Y-Cedar Rapids, IA-Financial Services-160-160-Financial Services. 2. Commercial Power Finance, Inc.N-Cedar Rapids, IA-Leasing Company-Vice President/Director-03/1995-1-1-Officer and director. Leasing company affiliated w/ BFC.
CRS (Client Relationship Summary) - RIA
Click below to view Richard Maurice Murphy'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 22, 2005 - Present
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
Office #1: 4201 42nd Street Ne, Suite 100 Box 11340, Cedar Rapids, IA 52410-1340RIA
BD
CRD#: 13609
Cedar Rapids, IA
Current
December 9, 2016 - Present
BFC PLANNING, INC.
Office #1: 4201 42nd Street Ne Suite 100, Cedar Rapids, IA 52402RIA
CRD#: 119682
Cedar Rapids, IA
Current
December 16, 2004 - Present
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
Office #1: 4201 42nd Street Ne, Suite 100 Box 11340, Cedar Rapids, IA 52410-1340RIA
BD
CRD#: 13609
Cedar Rapids, IA
Current
February 17, 2012 - Present
SECURITIES MANAGEMENT & RESEARCH, INC.
Office #1: 4201 42nd Street Ne Suite 100 Box 11606, Cedar Rapids, IA 52410-1606BD
CRD#: 759
Cedar Rapids, 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".
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
Iowa(8/22/2005)
IAR
Iowa(8/22/2005)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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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Company Information
BFC PLANNING, INC.
CRD#: 119682Cedar Rapids, IA 52410-1340TRUST BUT VERIFY
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